| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | LPLA | Common Stock | Tax liability | -$204K | -1.11K | -6.31% | $182.73 | 16.5K | Feb 25, 2022 | Direct | |
| transaction | LPLA | Common Stock | Sale | -$75.5K | -420 | -2.54% | $179.67 | 16.1K | Feb 28, 2022 | Direct | F1, F2 |
| transaction | LPLA | Common Stock | Sale | -$37K | -205 | -1.27% | $180.51 | 15.9K | Feb 28, 2022 | Direct | F1, F3 |
| transaction | LPLA | Common Stock | Sale | -$115K | -630 | -3.96% | $181.75 | 15.3K | Feb 28, 2022 | Direct | F1, F4, F5 |
| Id | Content |
|---|---|
| F1 | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2021. |
| F2 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.18 to $180.04, 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 $180.30 to $180.96, 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 $181.33 to $182.22, 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) 885 shares of Common Stock; (ii) 12,002 restricted stock units that vest in four installments as follows: 1,953 restricted stock units on each of May 25, 2022, August 25, 2022 and November 25, 2022; and 6,143 restricted stock units on February 25, 2023; and (iii) 2,402 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024. |
The signatory is signing on behalf of Edward Fandrey pursuant to a Power of Attorney dated January 21, 2021.