LPLA

SEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · nonDerivative · entry 5

Casady Mark S · CIK 0001405275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,957

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $40.22 to $40.89, 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 (3) to this Form 4.

SEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · nonDerivative · entry 4

Casady Mark S · CIK 0001405275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,428

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: 0001397911-17-000009 · wf-form4_148721290883585.xml · nonDerivative · entry 3

Casady Mark S · CIK 0001405275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,317

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: 0001397911-17-000007 · wf-form4_148721272854637.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,413.94

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 13, 2020, February 13, 2021 and February 13, 2022. Vested shares will be issued to the reporting person as soon as practicable after the applicable vesting date.

F2 · balance_after: Consists of (i) 165,853.94 shares of Common Stock; (ii) 1,094 restricted stock units that vest in full on February 24, 2017; (iii) 9,122 restricted stock units that vest in full on February 24, 2017; (iv) 2,414 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (v) 12,010 restricted stock units that vest ratably on February 25, 2017, 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.

SEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · derivative · entry 10

Casady Mark S · CIK 0001405275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,360

Underlying: Common Stock · 62,640 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.

F5 · derivative.exercise_date: This option became exercisable in five installments, beginning on 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: 0001397911-17-000009 · wf-form4_148721290883585.xml · nonDerivative · entry 2

Casady Mark S · CIK 0001405275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,957

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $40.62 to $41.17, 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.

SEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · nonDerivative · entry 1

Casady Mark S · CIK 0001405275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,597

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 · balance_after: Includes 67,086 shares previously reported by the Reporting Person as indirectly held by the Mark S. Casady 2014 Grantor Retained Annuity Trust.

SEC source: 0001397911-17-000011 · wf-form4_148721350389052.xml · nonDerivative · entry 1

Hellman Marco · CIK 0001294991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,885,143

F1 · balance_after: Consists of (i) 5,202 shares held directly by HMI Capital, LLC ("HMI LLC"), including 3,468 shares represented by restricted stock that is scheduled to vest in full on May 11, 2017, and (ii) 1,879,941 shares held directly by HMI Capital Partners, L.P. and Merckx Capital Partners, L.P. (collectively, the "Funds). HMI LLC and the Funds are directors by deputization of the Issuer. The 5,202 shares held directly by HMI LLC were granted to Mr. Hellman under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan pursuant to the Issuer's Non-Employee Director Compensation 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.

F2 · ownership.nature: HMI LLC, which is the general partner and investment adviser of the Funds, holds shares for the benefit of the Funds and, in turn, for the benefit of investors in the Funds. A three member investment committee of HMI LLC has investment discretion over shares held by HMI LLC. As the managing member of HMI LLC and a member of the investment committee, Mr. Hellman may be deemed to indirectly beneficially own such shares. Mr. Hellman disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein, if any.

F3 · ownership.nature: The Funds hold shares for the benefit of their investors. Such shares may be deemed to be indirectly beneficially owned by HMI LLC as the general partner and investment adviser of the Funds and by Mr. Hellman as the control person of HMI LLC. Mr. Hellman disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001397911-16-000376 · wf-form4_148193612602267.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,063

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 11, 2017.

SEC source: 0001397911-16-000360 · wf-form4_148193170249243.xml · nonDerivative · entry 2

Brennan John Joseph · CIK 0001485472 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,850

F3 · 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. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy.

SEC source: 0001397911-16-000360 · wf-form4_148193170249243.xml · nonDerivative · entry 1

Brennan John Joseph · CIK 0001485472 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,116

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 11, 2017. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation 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.

F2 · balance_after: Includes 386.430681 shares acquired under the Issuer's Dividend Reinvestment Plan.

SEC source: 0001397911-16-000368 · wf-form4_148193372197115.xml · nonDerivative · entry 2

MULCAHY ANNE M · CIK 0001201725 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,173

F2 · shares: The reporting person elected to receive these shares in lieu of the cash portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy.

SEC source: 0001397911-16-000368 · wf-form4_148193372197115.xml · nonDerivative · entry 1

MULCAHY ANNE M · CIK 0001201725 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,439

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 11, 2017.

SEC source: 0001397911-16-000370 · wf-form4_148193421038264.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,899.5

F2 · 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. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy.

SEC source: 0001397911-16-000370 · wf-form4_148193421038264.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,165.5

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 scheduled to vest in full on May 11, 2017. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation 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.

SEC source: 0001397911-16-000374 · wf-form4_148193458161244.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,916

F2 · 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. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy.

SEC source: 0001397911-16-000374 · wf-form4_148193458161244.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,182

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 11, 2017. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation 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.

SEC source: 0001397911-16-000372 · wf-form4_148193440535516.xml · nonDerivative · entry 2

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,435

F2 · 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. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy.

SEC source: 0001397911-16-000372 · wf-form4_148193440535516.xml · nonDerivative · entry 1

RIEPE JAMES S · CIK 0001203072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,701

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 11, 2017. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation 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.

SEC source: 0001397911-16-000366 · wf-form4_148193290596234.xml · nonDerivative · entry 2

Hellman Marco · CIK 0001294991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,202

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 pursuant to the Issuer's Non-Employee Director Compensation 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 · kind: Mr. Hellman elected to receive these shares in lieu of the cash portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy.

SEC source: 0001397911-16-000366 · wf-form4_148193290596234.xml · nonDerivative · entry 1

Hellman Marco · CIK 0001294991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,468

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 pursuant to the Issuer's Non-Employee Director Compensation 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 · kind: These shares represent restricted stock that is scheduled to vest in full on May 11, 2017.

SEC source: 0001397911-16-000362 · wf-form4_148193216425571.xml · nonDerivative · entry 6

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,150

F5 · 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. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy.

SEC source: 0001397911-16-000362 · wf-form4_148193216425571.xml · nonDerivative · entry 5

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,416

F4 · 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 11, 2017. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation 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.

SEC source: 0001397911-16-000362 · wf-form4_148193216425571.xml · nonDerivative · entry 4

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through GRAT

Disclosed balance after: 4,844

F3 · kind: Following the gift transfer described in footnote 1 above, these shares were contributed to the Jennifer A. Dinh 2016 Grantor Retained Annuity Trust. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

SEC source: 0001397911-16-000362 · wf-form4_148193216425571.xml · nonDerivative · entry 3

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by reporting person's spouse.

Disclosed balance after: 0

F3 · kind: Following the gift transfer described in footnote 1 above, these shares were contributed to the Jennifer A. Dinh 2016 Grantor Retained Annuity Trust. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

SEC source: 0001397911-16-000358 · wf-form4_147820519302742.xml · nonDerivative · entry 1

Oroschakoff Michelle · CIK 0001585874 · MD, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,592

F1 · balance_after: Consists of (i) 4,234 shares of Common Stock; (ii) 1,356 restricted stock units that vest in full on September 3, 2017; (iii) 639 restricted stock units that vest in full on February 24, 2017; (iv) 402 restricted stock units that vest in full on November 1, 2017; (v) 1,536 restricted stock units that vest ratably on each of March 6, 2017 and March 6, 2018; (vi) 922 restricted stock units that vest in full on March 6, 2018; (vii) 4,392 restricted stock units that vest ratably on each of February 25, 2017, February 25, 2018 and February 25, 2019; and (viii) 3,111 restricted stock units that vest in full on February 25, 2019.

SEC source: 0001397911-16-000362 · wf-form4_148193216425571.xml · nonDerivative · entry 2

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by reporting person's spouse.

Disclosed balance after: 4,844

F1 · kind: Represents a gift transfer to the reporting person's spouse.

SEC source: 0001397911-16-000362 · wf-form4_148193216425571.xml · nonDerivative · entry 1

DINH VIET D · CIK 0001306819 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,948

F1 · kind: Represents a gift transfer to the reporting person's spouse.

F2 · balance_after: Includes 60.974042 shares acquired under the Issuer's Dividend Reinvestment Plan.

SEC source: 0001397911-16-000349 · wf-form4_147803232584716.xml · nonDerivative · entry 1

Audette Matthew J · CIK 0001435098 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,040

F1 · balance_after: Consists of (i) 3,663 shares of Common Stock; (ii) 11,530 restricted stock units that vest ratably on each of February 25, 2017, February 25, 2018 and February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; and (iv) 11,736 restricted stock units that vest ratably on each of October 30, 2017 and October 30, 2018.

SEC source: 0001397911-16-000345 · wf-form4_147328009297678.xml · nonDerivative · entry 1

Oroschakoff Michelle · CIK 0001585874 · MD, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,744

F1 · balance_after: Consists of (i) 3,983 shares of Common Stock; (ii) 1,356 restricted stock units that vest in full on September 3, 2017; (iii) 639 restricted stock units that vest in full on February 24, 2017; (iv) 805 restricted stock units that vest ratably on each of November 1, 2016 and November 1, 2017; (v) 1,536 restricted stock units that vest ratably on each of March 6, 2017 and March 6, 2018; (vi) 922 restricted stock units that vest in full on March 6, 2018; (vii) 4,392 restricted stock units that vest ratably on each of February 25, 2017, February 25, 2018 and February 25, 2019; and (viii) 3,111 restricted stock units that vest in full on February 25, 2019.