Corey E. Thomas - 12 May 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: 12 May 2023
Net transactions value: $0
Form type: 4
Filing time: 16 May 2023, 16:08:19 UTC
Previous filing: 30 Mar 2023
Next filing: 17 May 2023
SEC: View on sec.gov

Key filing fact

Corey E. Thomas filed Form 4 for LPL Financial Holdings Inc. (LPLA) on 16 May 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: 16 May 2023, 16:08.

Change

Previous filing in this sequence was filed on 30 Mar 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: +784
Change %: +7.5%
Price: $0.000000
Shares after: 11,261
Date: 12 May 2023
Ownership: Direct
Footnotes: F1

LPLA transaction

Common Stock

Award

Transaction value: $0
Shares: +506
Change %: +4.5%
Price: $0.000000
Shares after: 11,767
Date: 12 May 2023
Ownership: Direct
Footnotes: F2

An asterisk next to the price means the reported price is likely invalid.

Explanation of Responses:

Id	Content
F1	Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP") pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy").
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. These stock units are subject to a written deferral election under the DDCP pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy.

Content

Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP") pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy").

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. These stock units are subject to a written deferral election under the DDCP pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy.

Remarks:

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