| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | LPLA | Common Stock | Options Exercise | $750K | +17.6K | +142.06% | $42.60 | 30K | May 10, 2021 | Direct | F1 |
| transaction | LPLA | Common Stock | Options Exercise | $661K | +33.3K | +111.01% | $19.85 | 63.3K | May 10, 2021 | Direct | F1 |
| transaction | LPLA | Common Stock | Sale | -$1.48M | -9.72K | -15.35% | $152.73 | 53.6K | May 10, 2021 | Direct | F2, F3 |
| transaction | LPLA | Common Stock | Sale | -$1.3M | -8.5K | -15.86% | $153.56 | 45.1K | May 10, 2021 | Direct | F2, F4 |
| transaction | LPLA | Common Stock | Sale | -$4M | -25.9K | -57.39% | $154.77 | 19.2K | May 10, 2021 | Direct | F2, F5 |
| transaction | LPLA | Common Stock | Sale | -$327K | -2.1K | -10.93% | $155.93 | 17.1K | May 10, 2021 | Direct | F2, F6 |
| transaction | LPLA | Common Stock | Sale | -$730K | -4.66K | -27.24% | $156.56 | 12.4K | May 10, 2021 | Direct | F2, F7 |
| transaction | LPLA | Common Stock | Sale | -$8.83K | -56 | -0.45% | $157.61 | 12.4K | May 10, 2021 | Direct | F2, F8 |
| 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 | -17.6K | -100% | $0.00* | 0 | May 10, 2021 | Common Stock | 17.6K | $42.60 | Direct | F1, F9 |
| transaction | LPLA | Option to purchase Common Stock | Options Exercise | $0 | -33.3K | -35.38% | $0.00 | 60.8K | May 10, 2021 | Common Stock | 33.3K | $19.85 | Direct | F1, F10 |
| Id | Content |
|---|---|
| F1 | The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 8, 2021. |
| F2 | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 8, 2021. |
| F3 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $152.16 to $153.15, 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 (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 $153.16 to $154.13, 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 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $154.21 to $155.17, 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 (5) to this Form 4. |
| F6 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $155.28 to $156.27, 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 (6) to this Form 4. |
| F7 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $156.29 to $157.05, 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 (7) to this Form 4. |
| F8 | Consists of (i) 4,059 shares of Common Stock; (ii) 1,433 restricted stock units that vest in full on February 25, 2022; (iii) 3,134 restricted stock units that vest ratably on each of February 25, 2022 and February25, 2023; and (iv) 3,767 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. |
| F9 | This option became exercisable in three installments, beginning October 30, 2016, which was the first anniversary of the date on which it was granted. The option became fully vested on October 30, 2018. |
| F10 | 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. |
The signatory is signing on behalf of Matthew J. Audette pursuant to a Power of Attorney dated September 30, 2015.