UNITED STATES
SECURITIES AND
EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to
Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): June 9, 2010
LPL Investment Holdings
Inc.
(Exact name of registrant as
specified in its charter)
| Delaware | 000-52609 | 20-3717839 | ||
| (State or other Jurisdiction of Incorporation) | (Commission File Number) | (IRS Employer Identification No.) |
| One Beacon Street Boston MA |
02108 | |
| (Address of Principal Executive Offices) | (Zip Code) |
Registrant’s telephone number, including area code: (617) 423-3644
| N/A |
| (Former name or former address if changed since last report.) |
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
o Written
communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425)
o Soliciting material pursuant
to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule
14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule
13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 5.07. Submission of Matters to a Vote of Security Holders
At the Annual Meeting of the Stockholders of LPL Investment Holdings Inc. (the “Company”) held on June 9, 2010 (the “Annual Meeting”), the proposals listed below were submitted to a vote of the stockholders. The proposals are described in the Company’s definitive proxy statement for the Annual Meeting. Each of the proposals was approved by the stockholders pursuant to the voting results set forth below.
Proposal 1 – The Election of Directors
The nine nominees named in the definitive proxy statement were elected to serve as directors until the 2011 annual meeting or until their successors are duly elected and qualified. Information as to the vote on each director standing for election is provided below:
| Votes | Votes | Votes | ||||||||||
| Nominee | For | Withheld | Abstaining | |||||||||
|
Mark S. Casady
|
71,482,094 | 2,170 | 0 | |||||||||
|
Richard W. Boyce
|
71,450,284 | 33,980 | 0 | |||||||||
|
John J. Brennan
|
71,455,734 | 28,530 | 0 | |||||||||
|
James S. Putnam
|
71,464,844 | 19,420 | 0 | |||||||||
|
Erik D. Ragatz
|
71,473,564 | 10,700 | 0 | |||||||||
|
James S. Riepe
|
71,471,394 | 12,870 | 0 | |||||||||
|
Richard P. Schifter
|
71,450,284 | 33,980 | 0 | |||||||||
|
Jeffrey E. Stiefler
|
71,465,034 | 19,230 | 0 | |||||||||
|
Allen R. Thorpe
|
71,471,394 | 12,870 | 0 | |||||||||
There were no broker non-votes with respect to this proposal.
Proposal 2 – Ratification of the appointment of Deloitte & Touche LLP as the Company’s independent public accounting firm.
The stockholders voted to ratify the appointment of Deloitte & Touche LLP as the Company’s independent public accounting firm. The voting results were as follows:
| Votes | Votes | Votes | ||||||
| For | Against | Abstaining | ||||||
| 71,482,094 | 0 | 2,170 | ||||||
There were no broker non-votes with respect to this proposal.
Proposal 3 – Approval of the LPL Investment Holdings Inc. and Affiliates Corporate Executive Bonus Plan.
The stockholders voted to approve the LPL Investment Holdings Inc. and Affiliates Corporate Executive Bonus Plan. The voting results were as follows:
| Votes | Votes | Votes | ||||||
| For | Against | Abstaining | ||||||
| 71,267,354 | 134,180 | 82,730 | ||||||
There were no broker non-votes with respect to this proposal.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
LPL INVESTMENT HOLDINGS INC.
| By: | /s/ Robert J. Moore | |
| Name: Robert J. Moore Title: Chief Financial Officer |
Dated: June 14, 2010