LPLA

SEC source: 0001397911-17-000116 · wf-form4_149549933188865.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,262

F1 · shares: These shares represent restricted stock that was granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan pursuant to the Issuer's Non-Employee Director Compensation Policy. This restricted stock is scheduled to vest in full on May 18, 2018.

SEC source: 0001397911-17-000127 · wf-form4_149550334068020.xml · nonDerivative · entry 2

Hellman Marco · CIK 0001294991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,167

F1 · kind: Mr. Hellman is the Managing Member of HMI Capital, LLC ("HMI LLC"), which is the general partner and investment adviser of HMI Capital Partners, L.P. and Merckx Capital Partners, L.P. (collectively the "Funds"). These securities are held directly by HMI LLC for the benefit of the Funds and, in turn, for the benefit of investors in the Funds. The securities may be deemed to be indirectly beneficially owned by Mr. Hellman as the managing member of HMI LLC. Mr. Hellman disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein (see Note 3 below).

F2 · kind: Mr. Hellman is a member of the Issuer's board of directors. These shares were granted to Mr. Hellman under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan ("Plan") pursuant to the Issuer's Non-Employee Director Compensation Policy ("Policy"). Mr. Hellman assigned these shares to HMI LLC. The proceeds of any disposition of these shares will be applied against management fees payable pursuant to the partnership agreement of the applicable fund. HMI LLC and the Funds are directors by deputization of the Issuer.

F3 · kind: A three member investment committee of HMI LLC has investment discretion over these shares. Mr. Hellman is the managing member of HMI LLC and is also a member of the investment committee. Mr. Hellman disclaims beneficial ownership of the shares beneficially owned by the Funds and HMI LLC (including the shares of restricted stock referred to in note 4 below), except to the extent of his pecuniary interest therein, if any.

F5 · shares: Mr. Hellman elected to receive these shares, which were granted under the Plan, in lieu of the cash portion of the annual retainer under the Policy.

SEC source: 0001397911-17-000127 · wf-form4_149550334068020.xml · nonDerivative · entry 1

Hellman Marco · CIK 0001294991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,199

F1 · kind: Mr. Hellman is the Managing Member of HMI Capital, LLC ("HMI LLC"), which is the general partner and investment adviser of HMI Capital Partners, L.P. and Merckx Capital Partners, L.P. (collectively the "Funds"). These securities are held directly by HMI LLC for the benefit of the Funds and, in turn, for the benefit of investors in the Funds. The securities may be deemed to be indirectly beneficially owned by Mr. Hellman as the managing member of HMI LLC. Mr. Hellman disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein (see Note 3 below).

F2 · kind: Mr. Hellman is a member of the Issuer's board of directors. These shares were granted to Mr. Hellman under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan ("Plan") pursuant to the Issuer's Non-Employee Director Compensation Policy ("Policy"). Mr. Hellman assigned these shares to HMI LLC. The proceeds of any disposition of these shares will be applied against management fees payable pursuant to the partnership agreement of the applicable fund. HMI LLC and the Funds are directors by deputization of the Issuer.

F3 · kind: A three member investment committee of HMI LLC has investment discretion over these shares. Mr. Hellman is the managing member of HMI LLC and is also a member of the investment committee. Mr. Hellman disclaims beneficial ownership of the shares beneficially owned by the Funds and HMI LLC (including the shares of restricted stock referred to in note 4 below), except to the extent of his pecuniary interest therein, if any.

F4 · shares: These shares represent restricted stock granted under the Plan pursuant to the Policy that is scheduled to vest in full on May 18, 2018.

SEC source: 0001397911-17-000131 · wf-form4_149550378770743.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,099.5

F2 · shares: Represents stock units granted under the 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 Deferred Plan pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy.

SEC source: 0001397911-17-000131 · wf-form4_149550378770743.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,131.5

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan ("Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 18, 2018. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan ("Deferred Plan") 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 ("Policy").

SEC source: 0001397911-17-000124 · wf-form4_149550246026726.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,167

F2 · shares: Represents stock units granted under the 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 Deferred Plan pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy.

SEC source: 0001397911-17-000124 · wf-form4_149550246026726.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,199

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan ("Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 18, 2018. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan ("Deferred Plan") 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 ("Policy").

SEC source: 0001397911-17-000134 · wf-form4_149550414224372.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,116

F2 · shares: Represents stock units granted under the 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 Deferred Plan pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy.

SEC source: 0001397911-17-000134 · wf-form4_149550414224372.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,148

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan ("Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 18, 2018. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan ("Deferred Plan") 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 ("Policy").

SEC source: 0001397911-17-000129 · wf-form4_149550356940567.xml · nonDerivative · entry 2

MULCAHY ANNE M · CIK 0001201725 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,340

F2 · shares: The reporting person elected to receive these shares, which were granted under the Plan, in lieu of the cash portion of the annual retainer under the Policy.

SEC source: 0001397911-17-000129 · wf-form4_149550356940567.xml · nonDerivative · entry 1

MULCAHY ANNE M · CIK 0001201725 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,372

F1 · shares: These shares represent restricted stock that was granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan ("Plan") pursuant to the Issuer's Non-Employee Director Compensation Policy ("Policy"). This restricted stock is scheduled to vest in full on May 18, 2018.

SEC source: 0001397911-17-000133 · wf-form4_149550397364631.xml · nonDerivative · entry 2

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,635

F2 · shares: The reporting person elected to receive these shares, which were granted under the Plan, in lieu of the cash portion of the annual retainer under the Policy.

SEC source: 0001397911-17-000133 · wf-form4_149550397364631.xml · nonDerivative · entry 1

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,667

F1 · shares: These shares represent restricted stock that was granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan ("Plan") pursuant to the Issuer's Non-Employee Director Compensation Policy ("Policy"). This restricted stock is scheduled to vest in full on May 18, 2018.

SEC source: 0001397911-17-000114 · wf-form4_149549840173130.xml · nonDerivative · entry 2

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,350

F2 · shares: Represents stock units granted under the 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 Deferred Plan pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy.

SEC source: 0001397911-17-000114 · wf-form4_149549840173130.xml · nonDerivative · entry 1

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,382

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan ("Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 18, 2018. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan ("Deferred Plan") 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 ("Policy").

SEC source: 0001397911-17-000085 · wf-form4_149074634907729.xml · nonDerivative · entry 2

Brennan John Joseph · CIK 0001485472 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,883

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, pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy. 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: 0001397911-17-000085 · wf-form4_149074634907729.xml · nonDerivative · entry 1

Brennan John Joseph · CIK 0001485472 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,872

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 11, 2017. 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"), 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"). 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: 0001397911-17-000089 · wf-form4_149074687452400.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,932.5

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, pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy. 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: 0001397911-17-000089 · wf-form4_149074687452400.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,921.5

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 11, 2017. 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"), 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"). 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: 0001397911-17-000093 · wf-form4_149074738384489.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,949

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, pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy. 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: 0001397911-17-000093 · wf-form4_149074738384489.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,938

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 11, 2017. 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"), 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"). 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: 0001397911-17-000091 · wf-form4_149074715860454.xml · nonDerivative · entry 2

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,468

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, pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy. 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: 0001397911-17-000091 · wf-form4_149074715860454.xml · nonDerivative · entry 1

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,457

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 11, 2017. 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"), 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). 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: 0001397911-17-000087 · wf-form4_149074665847702.xml · nonDerivative · entry 2

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,183

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, pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy. 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: 0001397911-17-000087 · wf-form4_149074665847702.xml · nonDerivative · entry 1

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,172

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 11, 2017. 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"), 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"). 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: 0001397911-17-000063 · wf-form4_148962547232990.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,985.94

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $39.01 to $39.32, 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) 165,853.94 shares of Common Stock; (ii) 1,206 restricted stock units that vest on March 6, 2018; (iii) 8,006 restricted stock units that vest ratably on February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13, 2022.

SEC source: 0001397911-17-000063 · wf-form4_148962547232990.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,107.94

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $39.01 to $39.23, 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: 0001397911-17-000063 · wf-form4_148962547232990.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,111.94

SEC source: 0001397911-17-000071 · wf-form4_148962684948166.xml · derivative · entry 2

Gooley Thomas · CIK 0001647085 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,778

Underlying: Common Stock · 20,778 shares

Expires 2027-03-13

F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000071 · wf-form4_148962684948166.xml · nonDerivative · entry 1

Gooley Thomas · CIK 0001647085 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,807

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 March 13, 2018, March 13, 2019 and March 13, 2020. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F2 · balance_after: Consists of (i) 2,599 shares of Common Stock; (ii) 4,572 restricted stock units that vest ratably on each of August 6, 2017 and August 6, 2018; (iii) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; (v) 2,928 restricted stock units that vest ratably on each of June 13, 2017, June 13, 2018 and June 13, 2019; and (vi) the restricted stock units reported on this Form 4.

SEC source: 0001397911-17-000063 · wf-form4_148962547232990.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,131

Underlying: Common Stock · 123,131 shares

Expires 2027-03-13

F4 · derivative.exercise_date: This option becomes exercisable in three equal installments on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000065 · wf-form4_148962576284418.xml · derivative · entry 2

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,704

Underlying: Common Stock · 27,704 shares

Expires 2027-03-13

F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000065 · wf-form4_148962576284418.xml · nonDerivative · entry 1

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,477

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 March 13, 2018, March 13, 2019 and March 13, 2020. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F2 · balance_after: Consists of (i) 6,028 shares of Common Stock; (ii) 7,686 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 11,736 restricted stock units that vest ratably on each of October 30, 2017 and October 30, 2018; and (v) the restricted stock units reported on this Form 4.

SEC source: 0001397911-17-000081 · wf-form4_148962846232804.xml · derivative · entry 2

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,930

Underlying: Common Stock · 15,930 shares

Expires 2027-03-13

F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000081 · wf-form4_148962846232804.xml · nonDerivative · entry 1

White George Burton · CIK 0001548543 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,979

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 March 13, 2018, March 13, 2019 and March 13, 2020. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F2 · balance_after: Consists of (i) 8,270 shares of Common Stock; (ii) 1,330 restricted stock units that vest in full on March 6, 2018; (iii) 1,409 restricted stock units that vest ratably on each of June 10, 2017 and June 10, 2018; (iv) 5,307 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (v) 3,111 restricted stock units that vest in full on February 25, 2019; and (vi) the restricted stock units reported on this Form 4.

SEC source: 0001397911-17-000079 · wf-form4_148962825942859.xml · derivative · entry 2

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,744

Underlying: Common Stock · 12,744 shares

Expires 2027-03-13

F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000079 · wf-form4_148962825942859.xml · nonDerivative · entry 1

Oroschakoff Michelle · CIK 0001585874 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,181.3773

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 March 13, 2018, March 13, 2019 and March 13, 2020. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F2 · balance_after: Consists of (i) 6,054.377293 shares of Common Stock; (ii) 1,356 restricted stock units that vest in full on September 3, 2017; (iii) 402 restricted stock units that vest in full on November 1, 2017; (iv) 767 restricted stock units that vest in full on March 6, 2018; (v) 922 restricted stock units that vest in full on March 6, 2018; (vi) 2,928 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (vii) 3,111 restricted stock units that vest in full on February 25, 2019; and (viii) the restricted stock units reported on this Form 4.

SEC source: 0001397911-17-000077 · wf-form4_148962795510540.xml · derivative · entry 2

Morrissey William P. Jr. · CIK 0001606128 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,137

Underlying: Common Stock · 12,137 shares

Expires 2027-03-13

F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000077 · wf-form4_148962795510540.xml · nonDerivative · entry 1

Morrissey William P. Jr. · CIK 0001606128 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,541

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 March 13, 2018, March 13, 2019 and March 13, 2020. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F2 · balance_after: Consists of (i) 5,831 shares of Common Stock; (ii) 666 restricted stock units that vest in full on March 6, 2018; (iii) 4,465 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) the restricted stock units reported on this Form 4.

SEC source: 0001397911-17-000073 · wf-form4_148962731310822.xml · derivative · entry 2

Kalbaugh John Andrew · CIK 0001548546 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,676

Underlying: Common Stock · 14,676 shares

Expires 2027-03-13

F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000073 · wf-form4_148962731310822.xml · nonDerivative · entry 1

Kalbaugh John Andrew · CIK 0001548546 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,609

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 March 13, 2018, March 13, 2019 and March 13, 2020. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F2 · balance_after: Consists of (i) 8,502 shares of Common Stock; (ii) 856 restricted stock units that vest in full on March 6, 2018; (iii) 1,541 restricted stock units that vest in full on March 6, 2018; (iv) 5,526 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (v) 3,111 restricted stock units that vest in full on February 25, 2019; (vi) 4,880 restricted stock units that vest ratably on each of June 13, 2017, June 13, 2018 and June 13, 2019; and (vii) the restricted stock units reported on this Form 4.

SEC source: 0001397911-17-000075 · wf-form4_148962770433992.xml · derivative · entry 2

Larsen Sallie R. · CIK 0001548541 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,973

Underlying: Common Stock · 9,973 shares

Expires 2027-03-13

F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000075 · wf-form4_148962770433992.xml · nonDerivative · entry 1

Larsen Sallie R. · CIK 0001548541 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,157

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 March 13, 2018, March 13, 2019 and March 13, 2020. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F2 · balance_after: Consists of (i) 7,062 shares of Common Stock; (ii) 789 restricted stock units that vest in full on March 6, 2018; (iii) 711 restricted stock units that vest in full on March 6, 2018; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; (v) 2,635 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; and (vi) the restricted stock units reported on this Form 4.

SEC source: 0001397911-17-000069 · wf-form4_148962641266367.xml · derivative · entry 5

Calder Tracy · CIK 0001665253 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,443

Underlying: Common Stock · 8,443 shares

Expires 2027-03-13

F5 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000069 · wf-form4_148962641266367.xml · derivative · entry 4

Calder Tracy · CIK 0001665253 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,120

Underlying: Common Stock · 9,561 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 9,561 shares on February 25, 2017, which was the first anniversary of the grant date. The remaining shares become exercisable ratably on each of February 25, 2018 and February 25, 2019.

SEC source: 0001397911-17-000069 · wf-form4_148962641266367.xml · nonDerivative · entry 3

Calder Tracy · CIK 0001665253 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,112

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 March 13, 2018, March 13, 2019 and March 13, 2020. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F3 · balance_after: Consists of (i) 3,864 shares of Common Stock; (ii) 21,494 restricted stock units that vest ratably on each February 25, 2018 and February 25, 2019; (iii) 2,342 restricted stock units that vest ratably on each February 25, 2018 and February 25, 2019; and (iv) the restricted stock units reported on this Form 4.

SEC source: 0001397911-17-000069 · wf-form4_148962641266367.xml · nonDerivative · entry 2

Calder Tracy · CIK 0001665253 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,700

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.15 to $39.535, inclusive. The reporting person undertakes to provide to 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 footnotes to this Form 4.

SEC source: 0001397911-17-000069 · wf-form4_148962641266367.xml · nonDerivative · entry 1

Calder Tracy · CIK 0001665253 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,165

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: 0001397911-17-000067 · wf-form4_148962602801173.xml · derivative · entry 2

Bergers David P. · CIK 0001583698 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,192

Underlying: Common Stock · 13,192 shares

Expires 2027-03-13

F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of March 13, 2018, March 13, 2019 and March 13, 2020.

SEC source: 0001397911-17-000067 · wf-form4_148962602801173.xml · nonDerivative · entry 1

Bergers David P. · CIK 0001583698 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,382

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 March 13, 2018, March 13, 2019 and March 13, 2020. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

F2 · balance_after: Consists of (i) 27,479 shares of Common Stock; (ii) 1,578 restricted stock units that vest in full on August 5, 2017; (iii) 2,688 restricted stock units that vest ratably on each of August 5, 2017 and August 5, 2018; (iv) 1,097 restricted stock units that vest in full on March 6, 2018; (v) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (vi) 3,111 restricted stock units that vest in full on February 25, 2019; and (vii) the restricted stock units reported on this Form 4.