Greg Gates - Dec 10, 2021 Form 4 Insider Report for LPL Financial Holdings Inc. (LPLA)

Role
Managing Director
Signature
Gregory M. Woods, attorney-in-fact
Stock symbol
LPLA
Transactions as of
Dec 10, 2021
Transactions value $
-$370,865
Form type
4
Date filed
12/13/2021, 04:34 PM
Previous filing
Aug 9, 2021
Next filing
Mar 1, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LPLA Common Stock Tax liability -$371K -2.31K -10.14% $160.27 20.5K Dec 10, 2021 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Consists of (i) 12,536 shares of Common Stock; (ii) 532 restricted stock units that vest in full on February 25, 2022; (iii) 1,470 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; (iv) 2,999 restricted stock units that vest ratably on each of June 5, 2022 and June 5, 2023; and (v) 2,969 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024.

Remarks:

The signatory is signing on behalf of Greg Gates pursuant to a Power of Attorney dated August 2, 2021.