| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | LPLA | Common Stock | Options Exercise | $1.29M | +65K | +139.36% | $19.85* | 112K | Feb 7, 2022 | Direct | |
| transaction | LPLA | Common Stock | Options Exercise | $619K | +9.45K | +8.47% | $65.50 | 121K | Feb 7, 2022 | Direct | |
| transaction | LPLA | Common Stock | Options Exercise | $461K | +5.94K | +4.91% | $77.53 | 127K | Feb 7, 2022 | Direct | |
| transaction | LPLA | Common Stock | Sale | -$2.55M | -14.2K | -11.17% | $180.12 | 113K | Feb 7, 2022 | Direct | F1 |
| transaction | LPLA | Common Stock | Sale | -$9.19M | -50.7K | -44.97% | $181.14 | 62.1K | Feb 7, 2022 | Direct | F2 |
| transaction | LPLA | Common Stock | Sale | -$1.99M | -10.9K | -17.58% | $182.08 | 51.2K | Feb 7, 2022 | Direct | F3 |
| transaction | LPLA | Common Stock | Sale | -$829K | -4.53K | -8.86% | $182.80 | 46.6K | Feb 7, 2022 | Direct | F4, F5 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | LPLA | Option to purchase Common Stock | Options Exercise | $0 | -65K | -100% | $0.00* | 0 | Feb 7, 2022 | Common Stock | 65K | $19.85 | Direct | F6 |
| transaction | LPLA | Option to purchase Common Stock | Options Exercise | $0 | -9.45K | -100% | $0.00* | 0 | Feb 7, 2022 | Common Stock | 9.45K | $65.50 | Direct | F7 |
| transaction | LPLA | Option to purchase Common Stock | Options Exercise | $0 | -5.94K | -66.67% | $0.00 | 2.97K | Feb 7, 2022 | Common Stock | 5.94K | $77.53 | Direct | F8 |
| Id | Content |
|---|---|
| F1 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.59 to $180.58, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. |
| F2 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.59 to $181.58, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. |
| F3 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.59 to $182.55, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. |
| F4 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $182.60 to $183.15, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. |
| F5 | Consists of (i) 41,215 shares of Common Stock; (ii) 988 restricted stock units that vest in full on February 25, 2022; (iii) 1,968 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 2,457 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. |
| F6 | This option became exercisable in three installments, beginning February 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2019. |
| F7 | This option became exercisable in three installments, beginning February 23, 2019, which was the first anniversary of the date on which it was granted. The option became fully vested on February 23, 2021. |
| F8 | This option became exercisable as to 2,970 shares on each of February 25, 2020 and February 25, 2021, and will become exercisable as to the remaining 2,969 shares on February 25, 2022. |
The signatory is signing on behalf of George Burton White pursuant to a Power of Attorney dated August 11, 2015.