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As Of Filer Filing For·On·As Docs:Size 2/26/14 LPL Financial Holdings Inc. 10-K 12/31/13 132:17M |
Document/Exhibit Description Pages Size 1: 10-K Annual Report HTML 1.48M 2: EX-10.18 Material Contract HTML 52K 3: EX-10.19 Material Contract HTML 54K 4: EX-10.20 Material Contract HTML 51K 5: EX-10.21 Material Contract HTML 51K 6: EX-10.22 Material Contract HTML 114K 7: EX-10.23 Material Contract HTML 60K 8: EX-21.1 Subsidiaries List HTML 40K 9: EX-23.1 Consent of Experts or Counsel HTML 35K 10: EX-31.1 Certification -- §302 - SOA'02 HTML 43K 11: EX-31.2 Certification -- §302 - SOA'02 HTML 43K 12: EX-32.1 Certification -- §906 - SOA'02 HTML 38K 13: EX-32.2 Certification -- §906 - SOA'02 HTML 38K 90: R1 Document and Entity Information Document HTML 63K 69: R2 Consolidated Statements of Income HTML 122K 85: R3 Consolidated Statements of Comprehensive Income HTML 53K 94: R4 Consolidated Statements of Comprehensive Income HTML 39K (Parentheticals) 120: R5 Consolidated Statements of Financial Condition HTML 141K 72: R6 Consolidated Statements of Financial Condition HTML 46K (Parentheticals) 84: R7 Consolidated Statements of Stockholders' Equity HTML 81K 63: R8 Consolidated Statements of Cash Flows HTML 193K 51: R9 Organization and Description of the Company HTML 50K 122: R10 Summary of Significant Accounting Policies HTML 129K 96: R11 Acquisitions HTML 109K 95: R12 Restructuring HTML 75K 102: R13 Fair Value Measurements HTML 183K 103: R14 Held-to-Maturity Securities HTML 59K 100: R15 Receivables from Product Sponsors, Broker-Dealers HTML 59K and Clearing Organizations and Payables to Broker-Dealers and Clearing Organizations 104: R16 Fixed Assets HTML 55K 86: R17 Goodwill and Other Intangible Assets HTML 107K 91: R18 Accounts Payable and Accrued Liabilities HTML 49K 98: R19 Income Taxes HTML 125K 131: R20 Debt HTML 104K 113: R21 Derivative Financial Instruments Derivative HTML 65K Financial Instruments 78: R22 Commitments and Contingencies HTML 65K 97: R23 Stockholders' Equity HTML 259K 81: R24 Earnings per Share HTML 81K 41: R25 Employee and Advisor Benefit Plans HTML 45K 114: R26 Related Party Transactions HTML 41K 127: R27 Net Capital and Regulatory Requirements HTML 45K 56: R28 Financial Instruments with Off-Balance-Sheet HTML 41K Credit Risk and Concentrations of Credit Risk 55: R29 Selected Quarterly Financial Data (Unaudited) HTML 79K 60: R30 Subsequent Events HTML 41K 61: R31 Summary of Significant Accounting Policies HTML 225K (Policies) 64: R32 Summary of Significant Accounting Policies HTML 55K (Tables) 29: R33 Acquisitions (Tables) HTML 89K 111: R34 Restructuring (Tables) HTML 66K 76: R35 Fair Value Measurements (Tables) HTML 170K 79: R36 Held-to-Maturity Securities (Tables) HTML 59K 46: R37 Receivables from Product Sponsors, Broker-Dealers HTML 59K and Clearing Organizations and Payables to Broker-Dealers and Clearing Organizations (Tables) 130: R38 Fixed Assets (Tables) HTML 52K 20: R39 Goodwill and Other Intangible Assets (Tables) HTML 105K 66: R40 Accounts Payable and Accrued Liabilities (Tables) HTML 48K 118: R41 Income Taxes (Tables) HTML 124K 43: R42 Debt (Tables) HTML 95K 54: R43 Derivative Financial Instruments Derivative HTML 56K Financial Instruments (Tables) 59: R44 Commitments and Contingencies (Tables) HTML 44K 70: R45 Stockholders' Equity (Tables) HTML 252K 28: R46 Earnings per Share (Tables) HTML 82K 50: R47 Selected Quarterly Financial Data (Unaudited) HTML 78K (Tables) 22: R48 Organization and Description of the Company HTML 45K (Details) 116: R49 Summary of Significant Accounting Policies Other HTML 38K Operating Expense (Details) 42: R50 Summary of Significant Accounting Policies HTML 43K Share-Based Compensation (Details) 112: R51 Summary of Significant Accounting Policies Income HTML 36K Taxes (Details) 47: R52 Summary of Significant Accounting Policies Cash HTML 35K and Cash Equivalents (Details) 67: R53 Summary of Significant Accounting Policies Cash HTML 37K and Securities Segregated Under Federal and Other Regulations (Details) 21: R54 Summary of Significant Accounting Policies HTML 45K Receivables From and Payables to Clients (Details) 25: R55 Summary of Significant Accounting Policies HTML 49K Receivables From Others (Details) 58: R56 Summary of Significant Accounting Policies HTML 45K Securities Borrowed and Loaned (Details) 33: R57 Summary of Significant Accounting Policies Fixed HTML 38K Assets (Details) 123: R58 Summary of Significant Accounting Policies HTML 36K Reportable Segment (Details) 74: R59 Summary of Significant Accounting Policies HTML 47K Goodwill and Other Intangible Assets (Details) 101: R60 Summary of Significant Accounting Policies Equity HTML 36K Method Investment (Details) 49: R61 Summary of Significant Accounting Policies Drafts HTML 37K Payable (Details) 52: R62 Summary of Significant Accounting Policies Fair HTML 41K Value of Financial Instruments (Details) 109: R63 Purchase Price Allocations (Details) HTML 67K 105: R64 Cash Flow Information (Details) HTML 52K 77: R65 Intangible Asset Allocation (Details) HTML 41K 107: R66 Acquisitions (Details Textuals) HTML 64K 48: R67 Restructuring (Details) HTML 42K 82: R68 Restructuring Restructuring Table SVC (Details) HTML 60K 126: R69 Fair Value Measurements Financial Assets and HTML 112K Liabilities Measured on a Recurring and Nonrecurring Basis (Details) 24: R70 Fair Value Measurements Significant Level 3 HTML 44K Liabilities (Details) 40: R71 Fair Value Measurements Changes in Level 3 HTML 45K Recurring Fair Value Measurements (Details Textuals) 68: R72 Fair Value Measurements Changes in Level 3 HTML 48K Recurring Fair Value Measurements (Details) 31: R73 Held-to-Maturity Securities (Details) HTML 48K 129: R74 Held-to-Maturity Securities (Details 1) HTML 60K 44: R75 Receivables from Product Sponsors, Broker-Dealers HTML 59K and Clearing Organizations and Payables to Broker-Dealers and Clearing Organizations (Details) 35: R76 Fixed Assets (Details) HTML 55K 39: R77 Fixed Assets (Details Textuals) HTML 37K 26: R78 Goodwill and Other Intangible Assets Goodwill HTML 44K (Details) 30: R79 Intangible Assets (Details) HTML 61K 92: R80 Goodwill and Other Intangible Assets (Details HTML 44K Textuals) 37: R81 Intangible Assets (Details 1) HTML 51K 124: R82 Accounts Payable and Accrued Liabilities (Details) HTML 55K 65: R83 Income Taxes (Details) HTML 63K 99: R84 Income Taxes (Details 1) HTML 66K 106: R85 Income Taxes (Details 2) HTML 79K 36: R86 Income Taxes (Details 3) HTML 43K 38: R87 Income Taxes (Details Textuals) HTML 56K 121: R88 Debt (Details) HTML 53K 32: R89 Debt (Details 1) HTML 38K 93: R90 Debt (Details 2) HTML 52K 89: R91 Debt (Details Textuals) HTML 101K 110: R92 Derivative Financial Instruments Derivative HTML 40K Financial Instruments (Details) 88: R93 Derivative Financial Instruments Derivative HTML 42K Financial Instruments (Details Textuals) 73: R94 Commitments and Contingencies (Details) HTML 55K 115: R95 Commitments and Contingencies (Details Textuals) HTML 73K 71: R96 Stockholders' Equity Stock Option and Warrant HTML 52K Assumptions (Details) 45: R97 Stock Option and Warrant Activity (Details) HTML 73K 80: R98 Stockholders' Equity (Details 2) HTML 63K 75: R99 Ristricted Stock Activity (Details) HTML 64K 57: R100 Stockholders' Equity (Details Textuals) HTML 72K 132: R101 Stockholders' Equity Dividends (Details) HTML 40K 108: R102 Stockholders' Equity Share Repurchase Program HTML 57K (Details) 87: R103 Earnings per Share (Details) HTML 78K 27: R104 Earnings per Share (Details Textuals) HTML 38K 117: R105 Employee and Advisor Benefit Plans (Details HTML 58K Textuals) 125: R106 Related Party Transactions (Details) HTML 50K 119: R107 Net Capital and Regulatory Requirements (Details) HTML 40K 83: R108 Selected Quarterly Financial Data (Details) HTML 57K 34: R109 Subsequent Events Subsequent Events (Details) HTML 60K 128: XML IDEA XML File -- Filing Summary XML 199K 23: EXCEL IDEA Workbook of Financial Reports XLSX 349K 53: EXCEL IDEA Workbook of Financial Reports (.xls) XLS 2.54M 14: EX-101.INS XBRL Instance -- lpla-20131231 XML 3.90M 16: EX-101.CAL XBRL Calculations -- lpla-20131231_cal XML 353K 17: EX-101.DEF XBRL Definitions -- lpla-20131231_def XML 1.07M 18: EX-101.LAB XBRL Labels -- lpla-20131231_lab XML 2.55M 19: EX-101.PRE XBRL Presentations -- lpla-20131231_pre XML 1.47M 15: EX-101.SCH XBRL Schema -- lpla-20131231 XSD 275K 62: ZIP XBRL Zipped Folder -- 0001397911-14-000038-xbrl Zip 389K
Exhibit 10.21 2013 |
(a). | Time-Based
Vesting. The Award shall become vested as to 100% of the Shares on the third anniversary of the Grant Date (such third anniversary, the “Vesting Date”); provided that the Participant remains in continuous Service through the Vesting Date. |
(b). | Termination of Service. Automatically and immediately upon the cessation of the Participant’s Service, the Award (i) if not then vested, shall terminate, and (ii) whether vested or unvested, shall terminate if the Participant’s Service is terminated for Cause. |
(a). | the Participant has been advised that the Award and the securities issuable hereunder have not been registered under the Securities Act of 1933, as amended (the “Securities Act”) or any state securities
laws and, therefore, cannot be resold unless they are registered under the Securities Act and applicable state securities laws or unless an exemption from such registration requirements is available; |
(b). | the Award and the securities issuable hereunder are being acquired for investment, solely for the Participant’s own account and not with a view to, or for resale in connection with, the distribution thereof in violation of the Securities Act; |
(c). | the Participant has such knowledge and experience in financial and business matters
that the Participant is capable of evaluating the merits and risks of acquiring the Award and any securities issuable hereunder, is able to incur a complete loss of such investment in the securities and is able to bear the economic risk of an investment in the securities for an indefinite period of time; |
(d). | the Participant qualifies as an “accredited investor” as defined in Rule 501 of Regulation D under the Securities Act; and |
(e). | the Participant had and continues to have an opportunity to question, and to receive information
from the Company concerning the Company and the terms and conditions of this transaction, and is familiar with the operations and affairs of the Company. |
This ‘10-K’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed as of: | 2/26/14 | 4 | ||
Filed on: | 2/25/14 | 4 | ||
For Period end: | 12/31/13 | 5 | ||
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 |