LPL Financial Holdings Inc. (NASDAQ:LPLA) Files An 8-K Entry into a Material Definitive AgreementItem 1.01
On September21, 2017, the Company issued a press release announcing the completion of LPL Holdings’ senior secured debt repricing, including the entering into of the Amendment and the pay down of the existing Term LoanB, and the offering of the Notes. A copy of the press release is attached as Exhibit99.1 to this Current Report on Form8-K.
Exhibit99.1 shall not be deemed “filed” for purposes of Section18 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 1.01 | Financial Statements and Exhibits. |
(d)Exhibits
| 4.1 | First Supplemental Indenture, dated September21, 2017, among LPL Holdings, U.S. Bank National Association, as trustee, and certain subsidiaries of LPL Holdings, as guarantors |
| 10.1 | Second Amendment, dated September 21, 2017, among the Company, LPL Holdings, the other credit parties party thereto, the lenders party thereto and JPMorgan Chase Bank, N.A., as administrative agent, and the other parties thereto |
| 99.1 | Press Release, dated September21, 2017 (“LPL Financial Announces Completion of Senior Secured Debt Repricing”) |
LPL Financial Holdings Inc. ExhibitEX-4.1 2 d631060dex41.htm EX-4.1 EX-4.1 Exhibit 4.1 FIRST SUPPLEMENTAL INDENTURE First Supplemental Indenture (this “Supplemental Indenture”),…To view the full exhibit click here
About LPL Financial Holdings Inc. (NASDAQ:LPLA)
LPL Financial Holdings Inc. is a broker-dealer, a custodian for registered investment advisors (RIAs) and an independent consultant to retirement plans. The Company provides a platform of brokerage and investment advisory services to independent financial advisors (its advisors), including financial advisors at approximately 700 financial institutions across the country. Through its advisors, the Company is a distributor of financial products and services in the United States. The Company provides its technology and service to advisors through a technology platform that is server-based and Web-accessible. The Company’s platform provides access to approximately 790 product providers that offer the various product lines, such as insurance-based products, alternative investments, structured products, mutual funds, separately managed accounts, exchange traded products, unit investment trusts, retirement plan products and annuities.
