Corey E. Thomas - 28 Mar 2023 Form 4 Insider Report for LPL Financial Holdings Inc. (LPLA)

Role: Director
Signature: /s/ Gregory M. Woods, attorney-in-fact
Issuer symbol: LPLA
Transactions as of: 28 Mar 2023
Net transaction value: $0
Form type: 4
Filing time: 30 Mar 2023, 16:27:09 UTC
Previous filing: 17 Feb 2023
Next filing: 16 May 2023
SEC filing: View on sec.gov

Key filing fact

Corey E. Thomas filed Form 4 for LPL Financial Holdings Inc. (LPLA) on 30 Mar 2023.

Key facts

This page summarizes Corey E. Thomas's Form 4 filing for LPL Financial Holdings Inc. (LPLA).
2 reported transactions and 0 derivative rows are listed below.
Filing timestamp: 30 Mar 2023, 16:27.

Change

Previous filing in this sequence was filed on 17 Feb 2023.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

See Original Filing

Reported transactions

LPLA transaction

Common Stock

Award

Transaction value: $0
Shares: +1
Change %: +0.01%
Price: $0.000000
Shares after: 10,466
Date: 28 Mar 2023
Ownership: Direct
Footnotes: F1

LPLA transaction

Common Stock

Award

Transaction value: $0
Shares: +11
Change %: +0.11%
Price: $0.000000
Shares after: 10,477
Date: 28 Mar 2023
Ownership: Direct
Footnotes: F2

^* indicates a reported price that failed the local validity check.

Explanation of Responses:

Id	Content
F1	Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 10, 2023. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.
F2	Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Content

Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 10, 2023. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Remarks:

The signatory is signing on behalf of Corey E. Thomas pursuant to a Power of Attorney dated April 29, 2019.