42 unchanged sentences
February 22, 2022
+Added: Other Information
Directors, Executive Officers and Corporate Governance
−Removed: Other than the information relating to our executive officers provided in Part I of this Annual Report on Form 10-K, the information required to be furnished pursuant to this item is incorporated by reference to the Company’s definitive proxy statement for the 2021 Annual Meeting of Stockholders.
+Added: Other than the information relating to our executive officers provided in Part I of this Annual Report on Form 10-K, the information required to be furnished pursuant to this item is incorporated by reference to the Company’s definitive proxy statement for the 2022 Annual Meeting of Stockholders, which the Company intends to file with the SEC within 120 days of the end of the fiscal year end to which this report relates.
Items 11, 12, 13 and 14.
−Removed: The information required by Items 11, 12, 13 and 14 is incorporated by reference from the Company’s definitive proxy statement for the 2021 Annual Meeting of Stockholders, which the Company intends to file with the SEC within 120 days of the end of the fiscal year end to which this report relates.
+Added: The information required by Items 11, 12, 13 and 14 is incorporated by reference to the Company’s definitive proxy statement for the 2022 Annual Meeting of Stockholders, which the Company intends to file with the SEC within 120 days of the end of the fiscal year end to which this report relates.
Exhibits and Financial Statement Schedules
23 unchanged sentences
2 to the Registration Statement on Form S-1 filed on July 9, 2010, File No.
+Added: Description of Exhibit
10.3 Form of Senior Management Stock Option Award granted under the LPL Investment Holdings Inc.
2010 Omnibus Equity Incentive Plan (incorporated by reference to the Form 10-K filed on February 26, 2013, File No.
+Added: 10.4 Form of Employee Restricted Stock Unit Award granted under the LPL Financial Holdings Inc.
+Added: 2010 Omnibus Equity Incentive Plan (incorporated by reference to the Form 10-K filed on February 26, 2014, File No.
10.5 Form of Employee Stock Option Award granted under the LPL Financial Holdings Inc.
+Added: 2010 Omnibus Equity Incentive Plan (incorporated by reference to the Fo rm 10-K filed on February 26, 2014, File No.
+Added: 10.6 Amended and Restated LPL Financial Holdings Inc.
+Added: 2010 Omnibus Equity Incentive Plan (incorporated by reference to the Form 8-K filed on May 15, 2015, File No.
+Added: 10.7 Form of Employee Stock Option Award granted under the LPL Financial Holdings Inc.
Amended and Restated 2010 Omnibus Equity Incentive Plan (incorporated by reference to the Form 10-K filed on February 24, 2017, File No.
3 unchanged sentences
Amended and Restated 2010 Omnibus Equity Incentive Plan (incorporated by reference to the Form 10-K filed on February 24, 2017, File No.
−Removed: 10.7 Form of Employee Stock Option Award granted under the LPL Financial Holdings Inc.
−Removed: Amended and Restated 2010 Omnibus Equity Incentive Plan (incorporated by reference to the Form 10-K filed on February 26, 2014, File No.
−Removed: 10.8 Form of Employee Restricted Stock Unit Award granted under the LPL Financial Holdings Inc.
−Removed: Amended and Restated 2010 Omnibus Equity Incentive Plan (incorporated by reference to the Form 10-K filed on February 26, 2014, File No.
−Removed: Description of Exhibit
−Removed: 10.9 Form of Advisor Restricted Stock Unit Award granted under the LPL Financial Holdings Inc.
−Removed: 2010 Omnibus Equity Incentive Plan (incorporated by reference to the Form 10-K filed on February 26, 2014, File No.
−Removed: 10.10 Form of Financial Institution Restricted Stock Unit Award granted under the LPL Financial Holdings Inc.
−Removed: 2010 Omnibus Equity Incentive Plan (incorporated by reference to the Form 10-K filed on February 26, 2014, File No.
−Removed: 10.11 Amended and Restated LPL Financial Holdings Inc.
+Added: 10.10 LPL Financial Holdings Inc.
+Added: 2012 Employee Stock Purchase Plan, as amended and restated, effective as of October 29 , 2019 (incorporated by reference to the Form 10-K filed on February 23, 2021, File No.
+Added: 10.11 LPL Financial Holdings Inc.
2021 Omnibus Equity Incentive Plan (incorporated by reference to the Form 8-K filed on May 5, 2021, File No.
−Removed: 10.12 LPL Financial LLC Executive Severance Plan, amended and restated as of February 23, 2017 (incorporated by reference to the Form 10-K filed on February 24, 2017, File No.
10.12 LPL Financial Holdings Inc.
+Added: 2021 Employee Stock Purchase Plan (incorporated by reference to the Form 8-K filed on May 5, 2021, File No.
+Added: 10.13 Form of Employee Restricted Stock Unit Award granted under the LPL Financial Holdings Inc.
+Added: 2021 Omnibus Equity Incentive Plan (incorporated by reference to the Form 10-Q filed on August 3, 2021, File No.
+Added: 10.14 Form of Employee Performance Stock Unit Award granted under the LPL Financial Holdings Inc.
+Added: 2021 Omnibus Equity Incentive Plan (incorporated by reference to the Form 10-Q filed on August 3, 2021, File No.
+Added: 10.15 LPL Financial Holdings Inc.
Non-Employee Director Compensation Policy (incorporated by reference to the Form 10-K filed on February 21, 2020 File No.
1 unchanged sentence
Non-Employee Director Deferred Compensation Plan (incorporated by reference to the Form 10-K filed on February 25, 2016, File No.
+Added: 10.17 LPL Financial Holdings Inc.
+Added: Non-Employee Director Deferred Compensation Plan, as amended May 5, 2021.
+Added: 10.18 LPL Financial Holdings Inc.
+Added: Non-Employee Director Compensation Policy, as amended May 5, 2021.*
+Added: 10.19 LPL Financial LLC Executive Severance Plan, amended and restated as of February 23, 2017 (incorporated by reference to the Form 10-K filed on February 24, 2017, File No.
+Added: 10.20 Leave Letter Agreement between LPL Financial LLC and Scott Seese, dated February 25, 2021 (incorporated by reference to the Form 10-Q filed on November 2, 2021, File No.
10.21 Credit Agreement, dated as of March 29, 2012, by and among LPL Investment Holdings Inc., LPL Holdings, Inc., the several lenders from time to time party thereto, and Bank of America, N.A.
as Administrative Agent Collateral Agent, Letter of Credit Issuer, and Swingline Lender (incorporated by reference to the Form 8-K filed on April 2, 2012, File No.
+Added: Description of Exhibit
10.22 First Amendment and Incremental Assumption Agreement, dated as of May 13, 2013, by and among LPL Financial Holdings Inc., LPL Holdings, Inc., certain subsidiaries of the Company, as Guarantors, the several lenders from time to time party thereto, and Bank of America, N.A.
19 unchanged sentences
and Goldman Sachs Bank USA, as Swingline Lenders (incorporated by reference to the Form 8-K filed on November 12, 2019, File No.
−Removed: Description of Exhibit
−Removed: 10.24 BETAHost Master Subscription Agreement dated as of January 5, 2009 between LPL Financial Corporation and Refinitiv US LLC (f/k/a Thomson Financial LLC), as amended.
−Removed: (incorporated by reference to the Form 10-K filed on February 23, 2021 File No.
−Removed: 10.25 LPL Financial Holdings Inc.
−Removed: 2012 Employee Stock Purchase Plan, as amended and restated, effective as of October 29, 2019 .
+Added: 10.30 Fifth Amendment , dated March 15, 2021, among LPL Financial Holdings Inc., LPL Holdings, Inc., certain subsidiaries of the Company, as Subsidiary Guarantors (as defined therein), the Incremental Revolving Lenders (as defined therein), JPMorgan Chase Bank, N.A., as administrative agent and collateral agent, letter of credit issuer and swingline lender, and the lenders and parties party thereto from time to time (incorporated by reference to the Form 8-K filed on March 15, 2021, File No.
+Added: 10.31 BETA Services First Amended and Restated Master Subscription Agreement, dated as of January 29, 2021, between LPL Financial LLC and Refinitiv US LLC (incorporated by reference to the Form 10-Q filed on May 4, 2021, File No.
21.1 List of Subsidiaries of LPL Financial Holdings Inc.*
6 unchanged sentences
Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.**
+Added: Description of Exhibit
101.SCH Inline XBRL Taxonomy Extension Schema*
35 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.