LPLA

SEC source: 0001397911-19-000002 · wf-form4_154725620598312.xml · derivative · entry 5

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 3,000 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.

F4 · 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: 0001397911-19-000002 · wf-form4_154725620598312.xml · derivative · entry 4

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,892 shares

Expires 2019-09-14

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.

F3 · derivative.exercise_date: This option became exercisable in five installments, beginning September 14, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on September 14, 2014.

SEC source: 0001397911-19-000002 · wf-form4_154725620598312.xml · nonDerivative · entry 3

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,689

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.

F2 · balance_after: Consists of (i) 17,837 shares of Common Stock; (ii) 2,653 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 3,034 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 3,054 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021.

SEC source: 0001397911-19-000002 · wf-form4_154725620598312.xml · nonDerivative · entry 2

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,689

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 August 23, 2018.

SEC source: 0001397911-19-000002 · wf-form4_154725620598312.xml · nonDerivative · entry 1

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,581

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: 0001397911-18-000219 · wf-form4_154483560615304.xml · derivative · entry 3

Gooley Thomas · CIK 0001647085 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,938

Underlying: Common Stock · 29,876 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.

F3 · derivative.exercise_date: This option, representing a right to purchase a total of 44,814 shares, becomes exercisable in three equal installments, beginning on February 25, 2017, which was the first anniversary of the date on which it was granted. The option shall become vested with regard to the remaining 14,938 underlying shares on February 25, 2019.

SEC source: 0001397911-18-000219 · wf-form4_154483560615304.xml · nonDerivative · entry 2

Gooley Thomas · CIK 0001647085 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,292

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.62 to $61.25 per share, 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 ranges set forth in this footnote (1) to this Form 4.

F2 · balance_after: Consists of (i) 7,997 shares of Common Stock; (ii) 1,830 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 976 restricted stock units that vest in full on June 13, 2019; (v) 3,958 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 3,420 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021.

SEC source: 0001397911-18-000219 · wf-form4_154483560615304.xml · nonDerivative · entry 1

Gooley Thomas · CIK 0001647085 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,168

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: 0001397911-18-000221 · wf-form4_154483603845673.xml · derivative · entry 8

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,500 shares

Expires 2019-11-16

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 equal installments, beginning on November 16, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on November 16, 2012.

SEC source: 0001397911-18-000221 · wf-form4_154483603845673.xml · derivative · entry 7

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,500 shares

Expires 2019-06-02

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.

F3 · derivative.exercise_date: This option became exercisable in three equal installments, beginning on June 2, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on June 2, 2012.

SEC source: 0001397911-18-000221 · wf-form4_154483603845673.xml · derivative · entry 6

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,500 shares

Expires 2019-02-12

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.

F2 · derivative.exercise_date: This option became exercisable in three equal installments, beginning on February 12, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on February 12, 2012.

SEC source: 0001397911-18-000221 · wf-form4_154483603845673.xml · nonDerivative · entry 4

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,925

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.62 to $60.75, 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 ranges set forth in this footnote (1) to this Form 4.

SEC source: 0001397911-18-000221 · wf-form4_154483603845673.xml · nonDerivative · entry 3

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,442

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: 0001397911-18-000221 · wf-form4_154483603845673.xml · nonDerivative · entry 2

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,942

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: 0001397911-18-000221 · wf-form4_154483603845673.xml · nonDerivative · entry 1

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,442

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: 0001397911-18-000213 · wf-form4_154345534267485.xml · derivative · entry 3

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,734

Underlying: Common Stock · 6,000 shares

Expires 2023-09-03

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.

F3 · derivative.exercise_date: This option became exercisable in four installments, beginning September 3, 2014, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2017.

SEC source: 0001397911-18-000213 · wf-form4_154345534267485.xml · nonDerivative · entry 2

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,811.1482

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 5, 2018.

F2 · balance_after: Consists of (i) 3,755.1482 shares of Common Stock; (ii) 1,464 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 2,427 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 3,054 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021.

SEC source: 0001397911-18-000213 · wf-form4_154345534267485.xml · nonDerivative · entry 1

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,811.1482

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.

SEC source: 0001397911-18-000201 · wf-form4_154345372993726.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,751

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 scheduled to vest in full on May 7, 2019. 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 7, 2019. 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: 0001397911-18-000205 · wf-form4_154345422305508.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,857.5

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: 0001397911-18-000203 · wf-form4_154345397115792.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,069

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: 0001397911-18-000203 · wf-form4_154345397115792.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,045

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 7, 2019. 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 7, 2019. 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: 0001397911-18-000209 · wf-form4_154345480756679.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,380.8345

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: 0001397911-18-000209 · wf-form4_154345480756679.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,335.8345

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 7, 2019. 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 7, 2019. 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: 0001397911-18-000207 · wf-form4_154345454603199.xml · nonDerivative · entry 2

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,942

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: 0001397911-18-000207 · wf-form4_154345454603199.xml · nonDerivative · entry 1

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,916

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 7, 2019. 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 7, 2019. 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: 0001397911-18-000211 · wf-form4_154345504527559.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,986.94

F1 · kind: The charitable gift reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2018.

F2 · balance_after: Consists of (i) 187,064.94 shares of Common Stock; (ii) 4,002 restricted stock units that vest on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; and (iv) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13, 2022.

SEC source: 0001397911-18-000199 · wf-form4_154214737449413.xml · derivative · entry 3

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,892

Underlying: Common Stock · 26,108 shares

Expires 2019-09-14

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.

F3 · derivative.exercise_date: This option became exercisable in five installments, beginning September 14, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on September 14, 2014.

SEC source: 0001397911-18-000199 · wf-form4_154214737449413.xml · nonDerivative · entry 2

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,689

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 August 23, 2018.

F2 · balance_after: Consists of (i) 14,837 shares of Common Stock; (ii) 2,653 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 3,034 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 3,054 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021.

SEC source: 0001397911-18-000199 · wf-form4_154214737449413.xml · nonDerivative · entry 1

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,582

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: 0001397911-18-000197 · wf-form4_154102558132346.xml · nonDerivative · entry 1

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,974

F1 · balance_after: Consists of (i) 15,613 shares of Common Stock; (ii) 3,842 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 5,277 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 5,131 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021.

SEC source: 0001397911-18-000186 · wf-form4_153851700176290.xml · nonDerivative · entry 1

Larsen Sallie R. · CIK 0001548541 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,832

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 July 27, 2018.

F2 · balance_after: Consists of (i) 9,209 shares of Common Stock; (ii) 3,111 restricted stock units that vest in full on February 25, 2019; (iii) 1,317 restricted stock units that vest in full on February 25, 2019; (iv) 1,899 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 2,296 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021.

SEC source: 0001397911-18-000182 · wf-form4_153671139413501.xml · nonDerivative · entry 1

Steinmeier Richard · CIK 0001750576 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,143

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 September 7, 2019, September 7, 2020, September 7, 2021 and September 7, 2022. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

SEC source: 0001397911-18-000174 · wf-form4_153540750038954.xml · derivative · entry 3

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,734

Underlying: Common Stock · 6,000 shares

Expires 2023-09-03

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.

F4 · derivative.exercise_date: This option became exercisable in four installments, beginning September 3, 2014, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2017.

SEC source: 0001397911-18-000174 · wf-form4_153540750038954.xml · nonDerivative · entry 2

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,811.1482

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 5, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.67 to $67.53, 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 ranges set forth in this footnote (2) to this Form 4.

F3 · balance_after: Consists of (i) 3,755.1482 shares of Common Stock; (ii) 1,464 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 2,427 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 3,054 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021.

SEC source: 0001397911-18-000174 · wf-form4_153540750038954.xml · nonDerivative · entry 1

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,811.1482

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.

SEC source: 0001397911-18-000170 · wf-form4_153540678419661.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,742

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 scheduled to vest in full on May 7, 2019. 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 7, 2019. 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: 0001397911-18-000176 · wf-form4_153540777490563.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,817.5

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: 0001397911-18-000172 · wf-form4_153540716123454.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,036

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: 0001397911-18-000172 · wf-form4_153540716123454.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,013

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 7, 2019. 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 7, 2019. 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: 0001397911-18-000180 · wf-form4_153540852658464.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,326.8345

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: 0001397911-18-000180 · wf-form4_153540852658464.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,284.8345

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 7, 2019. 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 7, 2019. 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: 0001397911-18-000178 · wf-form4_153540817475282.xml · nonDerivative · entry 2

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,907

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: 0001397911-18-000178 · wf-form4_153540817475282.xml · nonDerivative · entry 1

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,884

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 7, 2019. 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 7, 2019. 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: 0001397911-18-000168 · wf-form4_153540650472356.xml · nonDerivative · entry 2

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,364

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: 0001397911-18-000168 · wf-form4_153540650472356.xml · nonDerivative · entry 1

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,322

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 7, 2019. 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 7, 2019. 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: 0001397911-18-000166 · wf-form4_153505964507571.xml · nonDerivative · entry 1

Seese Scott · CIK 0001712038 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,168

F1 · balance_after: Consists of (i) 5,941 shares of Common Stock; (ii) 11,074 restricted stock units that vest in full on August 21, 2019; and (iii) 4,153 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021.

SEC source: 0001397911-18-000161 · wf-form4_153376478816194.xml · nonDerivative · entry 1

Gooley Thomas · CIK 0001647085 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,292

F1 · balance_after: Consists of (i) 7,997 shares of Common Stock; (ii) 1,830 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 976 restricted stock units that vest in full on June 13, 2019; (v) 3,958 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 3,420 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021.

SEC source: 0001397911-18-000159 · wf-form4_153333183686193.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,774

Underlying: Common Stock · 3,226 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.

F5 · 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: 0001397911-18-000159 · wf-form4_153333183686193.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2019-09-14

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 five installments, beginning September 14, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on September 14, 2014.