LPLA

SEC source: 0001397911-20-000054 · wf-form4_158285524319379.xml · nonDerivative · entry 2

Seese Scott · CIK 0001712038 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,136

F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2021, February 25, 2022, and February 25, 2023. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F2 · balance_after: Consists of (i) 14,660 shares of Common Stock; (ii) 1,383 restricted stock units that vest in full on February 23, 2021; (iii) 2,729 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) the restricted stock units reported on this Form 4.

SEC source: 0001397911-20-000054 · wf-form4_158285524319379.xml · nonDerivative · entry 1

Seese Scott · CIK 0001712038 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,772

SEC source: 0001397911-20-000052 · wf-form4_158285493993999.xml · nonDerivative · entry 3

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,307.1482

F2 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2021, February 25, 2022, and February 25, 2023. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

SEC source: 0001397911-20-000052 · wf-form4_158285493993999.xml · nonDerivative · entry 2

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,250.1482

SEC source: 0001397911-20-000052 · wf-form4_158285493993999.xml · nonDerivative · entry 1

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,545.1482

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2019.

SEC source: 0001397911-20-000050 · wf-form4_158285461733929.xml · nonDerivative · entry 2

Larsen Sallie R. · CIK 0001548541 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,592

F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2021, February 25, 2022, and February 25, 2023. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F2 · balance_after: Consists of (i) 14,306 shares of Common Stock; (ii) 949 restricted stock units that vest in full on March 13, 2020; (iii) 764 restricted stock units that vest in full on February 23, 2021; (iv) 1,296 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (v) the restricted stock units reported on this Form 4.

SEC source: 0001397911-20-000050 · wf-form4_158285461733929.xml · nonDerivative · entry 1

Larsen Sallie R. · CIK 0001548541 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,315

SEC source: 0001397911-20-000048 · wf-form4_158285435219676.xml · nonDerivative · entry 3

Kalbaugh John Andrew · CIK 0001548546 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,112

F2 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2021, February 25, 2022, and February 25, 2023. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

SEC source: 0001397911-20-000048 · wf-form4_158285435219676.xml · nonDerivative · entry 2

Kalbaugh John Andrew · CIK 0001548546 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,591

SEC source: 0001397911-20-000048 · wf-form4_158285435219676.xml · nonDerivative · entry 1

Kalbaugh John Andrew · CIK 0001548546 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,951

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2019.

SEC source: 0001397911-20-000046 · wf-form4_158285368381960.xml · nonDerivative · entry 2

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,475

F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2021, February 25, 2022, and February 25, 2023. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F2 · balance_after: Consists of (i) 476 shares of Common Stock; (ii) 670 restricted stock units that vest in full on March 13, 2020; (iii) 385 restricted stock units that vest in full on February 23, 2021; (iv) 836 restricted stock units that vest ratably on February 25, 2021 and February 25, 2022; and (v) the restricted stock units reported on this Form 4.

SEC source: 0001397911-20-000046 · wf-form4_158285368381960.xml · nonDerivative · entry 1

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,367

SEC source: 0001397911-20-000025 · wf-form4_158266915185005.xml · nonDerivative · entry 1

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,827

F1 · balance_after: Consists of (i) 9,181 shares of Common Stock; (ii) 2,638 restricted stock units that vest in full on March 13, 2020; (iii) 1,709 restricted stock units that vest in full on February 23, 2021; and (iv) 4,299 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.

SEC source: 0001397911-20-000037 · wf-form4_158267107657338.xml · nonDerivative · entry 1

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,458

F1 · balance_after: Consists of (i) 22,956 shares of Common Stock; (ii) 1,516 restricted stock units that vest in full on March 13, 2020; (iii) 1,018 restricted stock units that vest in full on February 23, 2021; and (iv) 2,968 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.

SEC source: 0001397911-20-000035 · wf-form4_158267076136558.xml · nonDerivative · entry 1

Seese Scott · CIK 0001712038 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,200

F1 · balance_after: Consists of (i) 13,723 shares of Common Stock; (ii) 1,383 restricted stock units that vest in full on February 23, 2021; and (iii) 4,094 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.

SEC source: 0001397911-20-000033 · wf-form4_158267046914129.xml · nonDerivative · entry 1

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,210.1482

F1 · balance_after: Consists of (i) 4,420.148 shares of Common Stock; (ii) 1,213 restricted stock units that vest in full on March 13, 2020; (iii) 1,018 restricted stock units that vest in full on February 23, 2021; and (iv) 2,559 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.

SEC source: 0001397911-20-000031 · wf-form4_158267020265041.xml · nonDerivative · entry 1

Larsen Sallie R. · CIK 0001548541 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,531

F1 · balance_after: Consists of (i) 13,874 shares of Common Stock; (ii) 949 restricted stock units that vest in full on March 13, 2020; (iii) 764 restricted stock units that vest in full on February 23, 2021; and (iv) 1,944 restricted stock that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.

SEC source: 0001397911-20-000029 · wf-form4_158266986699630.xml · nonDerivative · entry 1

Kalbaugh John Andrew · CIK 0001548546 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,479

F1 · balance_after: Consists of (i) 24,693 shares of Common Stock; (ii) 1,397 restricted stock units that vest in full on March 13, 2020; (iii) 941 restricted stock units that vest in full on February 23, 2021; and (iv) 2,448 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.

SEC source: 0001397911-20-000027 · wf-form4_158266951561204.xml · nonDerivative · entry 1

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,538

F1 · balance_after: Consist of (i) 228 shares of Common Stock; (ii) 670 restricted stock units that vest in full on March 13, 2020; (iii) 385 restricted stock units that vest in full on February 23, 2021; and (iv) 1,255 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.

SEC source: 0001397911-20-000013 · wf-form4_158206184881751.xml · nonDerivative · entry 1

Arnold Dan H. · CIK 0001487487 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,132.94

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.53 to $95.34, 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 (2) to this Form 4.

F3 · balance_after: Consists of (i) 171,259.94 shares of Common Stock and (ii) 25,873 restricted stock units that vest ratably on each of February 13, 2021 and February 13, 2022.

SEC source: 0001397911-20-000015 · wf-form4_158206214041207.xml · derivative · entry 3

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,913

Underlying: Common Stock · 5,000 shares

Expires 2024-09-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2019.

F4 · derivative.exercise_date: This option became exercisable in four installments, beginning September 3, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2018.

SEC source: 0001397911-20-000015 · wf-form4_158206214041207.xml · nonDerivative · entry 2

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,563.1482

F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2019.

F3 · balance_after: Consists of (i) 3,755.1482 shares of Common Stock; (ii) 1,213 restricted stock units that vest in full on March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 2,559 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.

SEC source: 0001397911-20-000015 · wf-form4_158206214041207.xml · nonDerivative · entry 1

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,563.1482

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2019.

SEC source: 0001397911-20-000004 · wf-form4_158033340865572.xml · derivative · entry 3

Kalbaugh John Andrew · CIK 0001548546 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 64,380 shares

Expires 2026-02-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2019.

F5 · derivative.exercise_date: 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.

SEC source: 0001397911-20-000004 · wf-form4_158033340865572.xml · nonDerivative · entry 2

Kalbaugh John Andrew · CIK 0001548546 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,894

F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2019.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.40 to $93.35, 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 · balance_after: Consists of (i) 24,165 shares of Common Stock; (ii) 1,397 restricted stock units that vest in full on March 13, 2020; (iii) 1,884 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 2,448 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.

SEC source: 0001397911-20-000004 · wf-form4_158033340865572.xml · nonDerivative · entry 1

Kalbaugh John Andrew · CIK 0001548546 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,274

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2019.

SEC source: 0001397911-19-000176 · wf-form4_157601762491972.xml · derivative · entry 4

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,198

Underlying: Common Stock · 20,703 shares

Expires 2022-02-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2019.

F5 · derivative.exercise_date: This option became exercisable in five installments, beginning February 9, 2013, which was the first anniversary of the date on which it was granted. The option became fully vested on February 9, 2017.

SEC source: 0001397911-19-000176 · wf-form4_157601762491972.xml · nonDerivative · entry 3

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,809

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2019.

F4 · balance_after: Consists of (i) 22,289 shares of Common Stock; (ii) 1,516 restricted stock units that vest in full on March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021 and (iv) 2,968 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.

SEC source: 0001397911-19-000176 · wf-form4_157601762491972.xml · nonDerivative · entry 2

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,030

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2019.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.695 to $92.69, 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.

SEC source: 0001397911-19-000176 · wf-form4_157601762491972.xml · nonDerivative · entry 1

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,512

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2019.

SEC source: 0001397911-19-000174 · wf-form4_157480641987712.xml · derivative · entry 4

Calder Tracy · CIK 0001665253 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,939

Underlying: Common Stock · 13,181 shares

Expires 2026-02-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: 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.

SEC source: 0001397911-19-000174 · wf-form4_157480641987712.xml · nonDerivative · entry 3

Calder Tracy · CIK 0001665253 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,089

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.51 to $91.85, 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 (2) to this Form 4.

F3 · balance_after: Consists of (i) 4,677 shares of Common Stock; (ii) 804 restricted stock units that vest in full on March 13, 2020; (iii) 1,042 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 1,566 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.

SEC source: 0001397911-19-000174 · wf-form4_157480641987712.xml · nonDerivative · entry 2

Calder Tracy · CIK 0001665253 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,270

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001397911-19-000174 · wf-form4_157480641987712.xml · nonDerivative · entry 1

Calder Tracy · CIK 0001665253 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,089

F1 · kind: This transaction was a charitable gift of securities by the reporting person. The gifted shares include 13.858 shares acquired under the Issuer's Dividend Reinvestment Plan.

SEC source: 0001397911-19-000162 · wf-form4_157472159286891.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,854

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 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.

SEC source: 0001397911-19-000166 · wf-form4_157472222819850.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,063.5

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 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.

SEC source: 0001397911-19-000164 · wf-form4_157472191394805.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,347

F2 · shares: Represents stock units granted under the 2010 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.

SEC source: 0001397911-19-000164 · wf-form4_157472191394805.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,322

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 5, 2020. 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 5, 2020. 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.

SEC source: 0001397911-19-000170 · wf-form4_157472307170163.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,725.8345

F2 · shares: Represents stock units granted under the 2010 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.

SEC source: 0001397911-19-000170 · wf-form4_157472307170163.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,685.8345

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 5, 2020. 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 5, 2020. 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.

SEC source: 0001397911-19-000168 · wf-form4_157472262001071.xml · nonDerivative · entry 2

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,205

F2 · shares: Represents stock units granted under the 2010 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.

SEC source: 0001397911-19-000168 · wf-form4_157472262001071.xml · nonDerivative · entry 1

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,179

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 5, 2020. 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 5, 2020. 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.

SEC source: 0001397911-19-000172 · wf-form4_157472353160435.xml · nonDerivative · entry 2

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,170

F2 · shares: Represents stock units granted under the 2010 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.

SEC source: 0001397911-19-000172 · wf-form4_157472353160435.xml · nonDerivative · entry 1

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,168

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 5, 2020. 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 5, 2020. 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.

SEC source: 0001397911-19-000160 · wf-form4_157385426514393.xml · derivative · entry 3

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,913

Underlying: Common Stock · 5,000 shares

Expires 2024-09-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2019.

F4 · derivative.exercise_date: This option became exercisable in four installments, beginning September 3, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2018.

SEC source: 0001397911-19-000160 · wf-form4_157385426514393.xml · nonDerivative · entry 2

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,563.1482

F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2019.

F3 · balance_after: Consists of (i) 3,755.1482 shares of Common Stock; (ii) 1,213 restricted stock units that vest in full on March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 2,559 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.

SEC source: 0001397911-19-000160 · wf-form4_157385426514393.xml · nonDerivative · entry 1

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,563.1482

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2019.

SEC source: 0001397911-19-000158 · wf-form4_157324909110216.xml · derivative · entry 6

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 860

Underlying: Common Stock · 39,140 shares

Expires 2020-12-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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 September 6, 2019.

F7 · derivative.exercise_date: This option became exercisable in five installments, beginning December 22, 2011, which was the first anniversary of the date on which it was granted. The option became fully vested on December 22, 2015.

SEC source: 0001397911-19-000158 · wf-form4_157324909110216.xml · derivative · entry 5

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires 2020-03-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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 September 6, 2019.

F6 · derivative.exercise_date: This option became exercisable in five installments, beginning March 15, 2011, which was the first anniversary of the date on which it was granted. The option became fully vested on March 15, 2015.

SEC source: 0001397911-19-000158 · wf-form4_157324909110216.xml · nonDerivative · entry 4

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,809

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2019.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.55 to $86.67, 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 · balance_after: Consists of (i) 22,289 shares of Common Stock; (ii) 1,516 restricted stock units that vest in full on March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021 and (iv) 2,968 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.