UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
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Securities registered pursuant to Section 12(b) of the Act:
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Trading |
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| Item 7.01. | Regulation FD Disclosure. |
On February 13, 2024, LPL Financial Holdings Inc. (collectively with its subsidiaries, the “Company” or “LPL Financial”) issued a press release announcing it had entered into a definitive purchase agreement to acquire Atria Wealth Solutions, Inc. (“Atria”), a wealth management solutions holding company. A copy of the joint press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1.
In addition, on February 13, 2024, the Company posted an investor presentation to the Company’s website titled “LPL Financial to Acquire Atria Wealth Solutions”, which can be found at investor.lpl.com, as well as updates to its Q4 2023 Investor Presentation and Q4 2023 Outlook Summary, which can also be found at investor.lpl.com.
Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities under that section and shall not be deemed to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act.
| Item 9.01 | Financial Statements and Exhibits. |
(d) Exhibits
| Exhibit No. | Exhibit Description | |
| 99.1 | Press release dated February 13, 2024 (“LPL Financial to Acquire Atria Wealth Solutions”) | |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). | |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.
| LPL FINANCIAL HOLDINGS INC. | ||||||
| By: | /s/ Gregory M. Woods | |||||
| Dated: February 13, 2024 | Name: Gregory M. Woods | |||||
| Title: Secretary | ||||||