James S. Putnam - Mar 26, 2024 Form 4 Insider Report for LPL Financial Holdings Inc. (LPLA)

Role: Director
Signature: /s/ Gregory M. Woods, attorney-in-fact
Stock symbol: LPLA
Transactions as of: Mar 26, 2024
Transactions value $: $0
Form type: 4
Date filed: 3/28/2024, 04:35 PM
Previous filing: Nov 29, 2023
Next filing: May 14, 2024

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	LPLA	Common Stock	Award	$0	+12	+0.01%	$0.00	135K	Mar 26, 2024	Direct	F1

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive 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 Issuer's Non-Employee Director Deferred Compensation Plan (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 units granted under the Issuer's 2021 Omnibus Equity Incentive 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 Issuer's Non-Employee Director Deferred Compensation Plan (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 James S. Putnam pursuant to a Power of Attorney dated March 9, 2014.