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As Of Filer Filing For·On·As Docs:Size 2/24/17 LPL Financial Holdings Inc. 10-K 12/31/16 115:11M |
Document/Exhibit Description Pages Size 1: 10-K Form 10-K Annual Report HTML 1.17M 2: EX-10.13 Form of Employee Stock Option Award HTML 51K 3: EX-10.14 Form of Employee Restricted Stock Unit Award HTML 51K 4: EX-10.19 Executive Severance Plan, Amended and Restated as HTML 113K of February 23, 2017 5: EX-10.21 Form of Employee Performance Stock Unit Award HTML 62K 6: EX-10.22 Non-Employee Director Compensation Policy HTML 40K 7: EX-21.1 Subsidiaries of the Registrant HTML 35K 8: EX-23.1 Consent of Independent Registered Public HTML 31K Accounting Firm 9: EX-31.1 CEO Certification Pursuant to Section 302 HTML 38K 10: EX-31.2 CFO Certification Pursuant to Section 302 HTML 38K 11: EX-32.1 CEO Certification Pursuant to Section 906 HTML 33K 12: EX-32.2 CFO Certification Pursuant to Section 906 HTML 33K 19: R1 Document and Entity Information Document HTML 58K 20: R2 Consolidated Statements of Income HTML 107K 21: R3 Consolidated Statements of Comprehensive Income HTML 51K 22: R4 Consolidated Statements of Comprehensive Income HTML 34K (Parentheticals) 23: R5 Consolidated Statements of Financial Condition HTML 131K 24: R6 Consolidated Statements of Financial Condition HTML 44K (Parentheticals) 25: R7 Consolidated Statements of Stockholders' Equity HTML 95K 26: R8 Consolidated Statements of Cash Flows HTML 191K 27: R9 Organization and Description of the Company HTML 40K 28: R10 Summary of Significant Accounting Policies HTML 126K 29: R11 Fair Value Measurements HTML 145K 30: R12 Held-to-Maturity Securities HTML 53K 31: R13 Receivables from Product Sponsors, Broker-Dealers HTML 54K and Clearing Organizations and Payables to Broker-Dealers and Clearing Organizations 32: R14 Fixed Assets HTML 55K 33: R15 Goodwill and Other Intangible Assets HTML 97K 34: R16 Derivative Financial Instruments HTML 54K 35: R17 Accounts Payable and Accrued Liabilities HTML 43K 36: R18 Debt HTML 76K 37: R19 Income Taxes HTML 117K 38: R20 Commitments and Contingencies HTML 55K 39: R21 Stockholders' Equity Stockholders' Equity (Notes) HTML 58K 40: R22 Stock-Based Compensation HTML 154K 41: R23 Earnings per Share HTML 57K 42: R24 Employee and Advisor Benefit Plans HTML 39K 43: R25 Related Party Transactions HTML 37K 44: R26 Net Capital and Regulatory Requirements HTML 35K 45: R27 Financial Instruments with Off-Balance-Sheet HTML 37K Credit Risk and Concentrations of Credit Risk 46: R28 Selected Quarterly Financial Data (Unaudited) HTML 74K 47: R29 Subsequent Event HTML 33K 48: R30 Summary of Significant Accounting Policies HTML 166K (Policies) 49: R31 Summary of Significant Accounting Policies HTML 59K (Tables) 50: R32 Fair Value Measurements (Tables) HTML 133K 51: R33 Held-to-Maturity Securities (Tables) HTML 54K 52: R34 Receivables from Product Sponsors, Broker-Dealers HTML 53K and Clearing Organizations and Payables to Broker-Dealers and Clearing Organizations (Tables) 53: R35 Fixed Assets (Tables) HTML 52K 54: R36 Goodwill and Other Intangible Assets (Tables) HTML 98K 55: R37 Derivative Financial Instruments (Tables) HTML 43K 56: R38 Accounts Payable and Accrued Liabilities (Tables) HTML 43K 57: R39 Debt (Tables) HTML 74K 58: R40 Income Taxes (Tables) HTML 119K 59: R41 Commitments and Contingencies (Tables) HTML 39K 60: R42 Stockholders' Equity (Tables) HTML 48K 61: R43 Stock-Based Compensation (Tables) HTML 146K 62: R44 Earnings per Share (Tables) HTML 53K 63: R45 Selected Quarterly Financial Data (Unaudited) HTML 73K (Tables) 64: R46 Organization and Description of the Company HTML 49K (Details) 65: R47 Summary of Significant Accounting Policies Other HTML 32K Operating Expense (Details) 66: R48 Summary of Significant Accounting Policies HTML 43K Share-Based Compensation (Details) 67: R49 Summary of Significant Accounting Policies HTML 42K Receivables From and Payables to Clients (Details) 68: R50 Summary of Significant Accounting Policies HTML 42K Receivables from Advisor (Details) 69: R51 Summary of Significant Accounting Policies HTML 49K Receivables From Others (Details) 70: R52 Summary of Significant Accounting Policies HTML 35K Securities Borrowed (Details) 71: R53 Summary of Significant Accounting Policies Fixed HTML 49K Assets (Details) 72: R54 Summary of Significant Accounting Policies HTML 50K Goodwill and Other Intangible Assets (Details) 73: R55 Summary of Significant Accounting Policies Fair HTML 39K Value of Debt Instruments (Details) 74: R56 Fair Value Measurements Financial Assets and HTML 111K Liabilities Measured on a Recurring and Nonrecurring Basis (Details) 75: R57 Held-to-Maturity Securities (Details) HTML 43K 76: R58 Held-to-Maturity Securities (Details 1) HTML 58K 77: R59 Receivables from Product Sponsors, Broker-Dealers HTML 51K and Clearing Organizations and Payables to Broker-Dealers and Clearing Organizations (Details) 78: R60 Fixed Assets (Details) HTML 57K 79: R61 Fixed Assets (Details Textuals) HTML 34K 80: R62 Goodwill and Other Intangible Assets Goodwill HTML 35K (Details) 81: R63 Intangible Assets (Components)(Details) HTML 63K 82: R64 Goodwill and Other Intangible Assets (Details HTML 36K Textuals) 83: R65 Intangible Assets (Future Amortization HTML 46K Expense)(Details) 84: R66 Derivative Financial Instruments (Details) HTML 36K 85: R67 Derivative Financial Instruments (Details HTML 39K Textuals) 86: R68 Derivative Financial Instruments (Included in HTML 34K Other Assets) (Details) 87: R69 Accounts Payable and Accrued Liabilities (Details) HTML 46K 88: R70 Debt (Credit Agreement Outstanding HTML 73K Balance)(Details) 89: R71 Debt (Future Payments and Maturities)(Details) HTML 50K 90: R72 Debt (Credit Agreement Textuals)(Details) HTML 52K 91: R73 Income Taxes (Provision for Income Taxes) HTML 55K (Details) 92: R74 Income Taxes (Reconciliation to Effective Rate) HTML 59K (Details) 93: R75 Income Taxes (Deferred Income Taxes) (Details) HTML 75K 94: R76 Income Taxes (Gross Unrecognized Tax Benefits) HTML 38K (Details) 95: R77 Income Taxes (Details Textuals) HTML 39K 96: R78 Commitments and Contingencies (Leases) (Details) HTML 35K 97: R79 Commitments and Contingencies (Future Minimum HTML 50K Payments) (Details) 98: R80 Commitments and Contingencies (Other Commitments) HTML 45K (Details) 99: R81 Stockholders' Equity (Dividends Paid) (Details) HTML 40K 100: R82 Stockholders' Equity (Share Repurchases) (Details) HTML 45K 101: R83 Share-Based Compensation Stock Option and Warrant HTML 51K Assumptions (Details) 102: R84 Share-Based Compensation Stock Option and Warrant HTML 78K Activity (Details) 103: R85 Share-Based Compensation Outstanding Stock Options HTML 63K and Warrants (Details) 104: R86 Share-Based Compensation Restricted Stock Activity HTML 75K (Details) 105: R87 Share-Based Compensation (Details Textuals) HTML 73K 106: R88 Earnings per Share (Details) HTML 54K 107: R89 Earnings per Share (Details Textuals) HTML 34K 108: R90 Employee and Advisor Benefit Plans (Details HTML 49K Textuals) 109: R91 Related Party Transactions (Details) HTML 43K 110: R92 Net Capital and Regulatory Requirements (Details) HTML 33K 111: R93 Selected Quarterly Financial Data (Details) HTML 50K 112: R94 Subsequent Event (Details) HTML 43K 114: XML IDEA XML File -- Filing Summary XML 205K 113: EXCEL IDEA Workbook of Financial Reports XLSX 119K 13: EX-101.INS XBRL Instance -- lpla-20161231 XML 2.83M 15: EX-101.CAL XBRL Calculations -- lpla-20161231_cal XML 322K 16: EX-101.DEF XBRL Definitions -- lpla-20161231_def XML 838K 17: EX-101.LAB XBRL Labels -- lpla-20161231_lab XML 2.19M 18: EX-101.PRE XBRL Presentations -- lpla-20161231_pre XML 1.29M 14: EX-101.SCH XBRL Schema -- lpla-20161231 XSD 211K 115: ZIP XBRL Zipped Folder -- 0001397911-17-000025-xbrl Zip 318K
Exhibit |
1. | Performance Stock Unit Award. |
2. | Vesting. |
3. | Delivery of Shares. |
4. | Dividends; Other Rights. |
5. | Certain Tax Matters. |
6. | Covered Transaction. |
7. | Withholding.
|
8. | Nontransferability. |
9. | Effect on Employment Rights. |
10. | Governing Law. |
11. | Repurchase by Company; Forfeiture; Recovery of Compensation.
|
12. | Provisions of the Plan. |
13. | Definitions. |
14. | General. |
1. | The
terms set forth below, as used in this Appendix A, shall have the following meanings: |
(i) | “Performance Period” shall mean the period beginning on [●] and ending on [●]. |
(ii) | “Performance Period End Date” shall mean [●]. |
(iii) | “S&P 1500 Capital Markets Companies”
shall mean the companies in the Capital Markets Industry as defined by the Global Industry Classification Standard (“GICS”) industry classification code GICS 402030 by Standard & Poor’s which are also included within the S&P 1500 as of the Grant Date. |
(iv) | “Total Shareholder Return” shall mean the change in value expressed as a percentage of a given dollar amount invested in a company’s most widely publicly traded stock over the Performance Period, taking into account both stock price appreciation (or depreciation) and the reinvestment of dividends (including the cash value of non-cash dividends) in such stock of the company. The average
historical thirty (30) -day closing price for shares of Stock and the stock of the S&P 1500 Capital Markets Companies (i.e., the average closing prices for the thirty (30) consecutive trading days ending on and inclusive of [●] and the average closing prices for the thirty (30) consecutive trading days ending on and inclusive of the Performance Period End Date) will be used to value shares of Stock and the stock of the S&P 1500 Capital Markets Companies. Dividend reinvestment will be calculated using the closing price of a share of Stock or the stock of the applicable S&P 1500 Capital Markets Company on the ex-dividend date or, if no trades were reported on such date, the latest preceding date for which a trade was reported. For the avoidance of doubt, if a company ceases to be publicly traded on a national stock exchange during the Performance Period, such company shall not be treated as an S&P 1500 Capital Markets Company for purposes of the
determinations herein and such company’s Total Shareholder Return shall not be included for purposes of the calculations herein. If a company files for bankruptcy during the Performance Period, such company will remain an S&P 1500 Capital Markets Company and will be included at the zero percentile for purposes of the calculations herein. |
(v) | “TSR Percentile Rank” shall mean the percentage of Total Shareholder Return values among the S&P 1500 Capital Markets Companies at the Performance Period End Date that are equal to or lower than the Company’s Total Shareholder Return at the Performance Period End Date. For purposes of the TSR Percentile Rank
calculation, the Company will be included in the group of S&P 1500 Capital Markets Companies. |
2. | The percentage of the Target Award that may be earned by the Participant and that then become Earned PSUs is based on the extent to which the Administrator determines the Performance Criterion of Total Shareholder Return (as measured by TSR Percentile Rank) has been achieved, as set forth below. |
TSR
Percentile Rank | Percentage of Target Award that Will Become Earned PSUs |
≥ 80th Percentile | 200% |
50th Percentile | 100% |
25th Percentile | 50% |
≤ 25th Percentile | 0% |
3. | Following the end of the [●] calendar year and not later than March 1, [●], the Administrator shall certify whether and to what extent the Performance Criterion has been achieved and the percentage of the Target Award
(and the corresponding number of Earned PSUs) that has been earned and that shall be eligible to vest. The date on which such certification occurs is referred to as the “Determination Date.” The PSUs corresponding to the percentage of the Target Award that is determined by the Administrator to be earned and eligible to vest are referred to as “Earned PSUs.” Any Shares delivered in respect of Earned PSUs shall be rounded down to the nearest whole number of Shares and any fractional Shares shall be disregarded. Any portion of the Target Award that is not earned shall terminate automatically and immediately on the Determination Date and be of no further force or effect. All determinations under this Exhibit A shall be made by the Administrator and will be final and binding on the Participant. |
4. | No
portion of the Target Award shall become earned and eligible to vest pursuant to this Appendix A unless the Participant has remained in continuous Employment through the Determination Date, except as expressly provided in Section 2(c) of this Agreement. Except as provided in the preceding sentence, if the Participant’s Employment is terminated prior to the Determination Date for any reason, this Award shall terminate immediately and be of no further force or effect. |
5. | The Award is intended to qualify as exempt performance-based compensation under Section 162(m) and shall be interpreted consistently with this intent. |
This ‘10-K’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 2/24/17 | 4, 8-K | ||
For Period end: | 12/31/16 | |||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/21/24 LPL Financial Holdings Inc. 10-K 12/31/23 131:13M 2/23/23 LPL Financial Holdings Inc. 10-K 12/31/22 123:14M 2/22/22 LPL Financial Holdings Inc. 10-K 12/31/21 128:14M 2/23/21 LPL Financial Holdings Inc. 10-K 12/31/20 125:13M |