LPLA

SEC source: 0000899243-23-020687 · doc4.xml · nonDerivative · entry 13

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,138.8345

F1 · kind: On December 22, 2023, the reporting person transferred 1,628 shares of LPLA common stock to eleven trusts for the reporting person's grandchildren. The reporting person is a co-trustee of the trusts, and each of the reporting person's grandchildren is the sole beneficiary of their respective trust. The reporting person remains the beneficial owner of the securities held by the trusts.

SEC source: 0000899243-23-020687 · doc4.xml · nonDerivative · entry 11

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,286.8345

F1 · kind: On December 22, 2023, the reporting person transferred 1,628 shares of LPLA common stock to eleven trusts for the reporting person's grandchildren. The reporting person is a co-trustee of the trusts, and each of the reporting person's grandchildren is the sole beneficiary of their respective trust. The reporting person remains the beneficial owner of the securities held by the trusts.

SEC source: 0000899243-23-020687 · doc4.xml · nonDerivative · entry 9

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,434.8345

F1 · kind: On December 22, 2023, the reporting person transferred 1,628 shares of LPLA common stock to eleven trusts for the reporting person's grandchildren. The reporting person is a co-trustee of the trusts, and each of the reporting person's grandchildren is the sole beneficiary of their respective trust. The reporting person remains the beneficial owner of the securities held by the trusts.

SEC source: 0000899243-23-020687 · doc4.xml · nonDerivative · entry 7

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,582.8345

F1 · kind: On December 22, 2023, the reporting person transferred 1,628 shares of LPLA common stock to eleven trusts for the reporting person's grandchildren. The reporting person is a co-trustee of the trusts, and each of the reporting person's grandchildren is the sole beneficiary of their respective trust. The reporting person remains the beneficial owner of the securities held by the trusts.

SEC source: 0000899243-23-020687 · doc4.xml · nonDerivative · entry 5

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,730.8345

F1 · kind: On December 22, 2023, the reporting person transferred 1,628 shares of LPLA common stock to eleven trusts for the reporting person's grandchildren. The reporting person is a co-trustee of the trusts, and each of the reporting person's grandchildren is the sole beneficiary of their respective trust. The reporting person remains the beneficial owner of the securities held by the trusts.

SEC source: 0000899243-23-020687 · doc4.xml · nonDerivative · entry 3

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,878.8345

F1 · kind: On December 22, 2023, the reporting person transferred 1,628 shares of LPLA common stock to eleven trusts for the reporting person's grandchildren. The reporting person is a co-trustee of the trusts, and each of the reporting person's grandchildren is the sole beneficiary of their respective trust. The reporting person remains the beneficial owner of the securities held by the trusts.

SEC source: 0000899243-23-020687 · doc4.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,026.8345

F1 · kind: On December 22, 2023, the reporting person transferred 1,628 shares of LPLA common stock to eleven trusts for the reporting person's grandchildren. The reporting person is a co-trustee of the trusts, and each of the reporting person's grandchildren is the sole beneficiary of their respective trust. The reporting person remains the beneficial owner of the securities held by the trusts.

SEC source: 0001397911-23-000184 · wk-form4_1702589970.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,043.94

F1 · kind: This transaction was a charitable gift of securities by the reporting person.

F2 · balance_after: Consists of (i) 112,645.94 shares of Common Stock; (ii) 4,915 restricted stock units that vest in full on February 25, 2024; (iii) 7,837 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 11,646 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.

SEC source: 0001397911-23-000172 · wk-form4_1701295432.xml · nonDerivative · entry 2

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,001

F2 · shares: Represents stock units granted under the 2021 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: 0001397911-23-000172 · wk-form4_1701295432.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,993

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. 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 8, 2024. The stock unit reported hereby was 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: 0001397911-23-000178 · wk-form4_1701296397.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,283.5

F2 · shares: Represents stock units granted under the 2021 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: 0001397911-23-000178 · wk-form4_1701296397.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,269.5

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. 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 8, 2024. The stock unit reported hereby was 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: 0001397911-23-000174 · wk-form4_1701295731.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,230

F2 · shares: Represents stock units granted under the 2021 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: 0001397911-23-000174 · wk-form4_1701295731.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,211

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. 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 8, 2024. The stock unit reported hereby was 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: 0001397911-23-000180 · wk-form4_1701296738.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,174.8345

F2 · shares: Represents stock units granted under the 2021 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: 0001397911-23-000180 · wk-form4_1701296738.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,149.8345

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. 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 8, 2024. The stock unit reported hereby was 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: 0001397911-23-000170 · wk-form4_1701295051.xml · nonDerivative · entry 2

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,550

F2 · shares: Represents stock units granted under the 2021 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: 0001397911-23-000170 · wk-form4_1701295051.xml · nonDerivative · entry 1

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,544

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. 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 8, 2024. The stock unit reported hereby was 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: 0001397911-23-000182 · wk-form4_1701297074.xml · nonDerivative · entry 2

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,800

F2 · shares: Represents stock units granted under the 2021 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: 0001397911-23-000182 · wk-form4_1701297074.xml · nonDerivative · entry 1

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,791

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. 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 8, 2024. The stock unit reported hereby was 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: 0001397911-23-000176 · wk-form4_1701296085.xml · nonDerivative · entry 2

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,718

F2 · shares: Represents stock units granted under the 2021 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: 0001397911-23-000176 · wk-form4_1701296085.xml · nonDerivative · entry 1

Mnookin Allison · CIK 0001603473 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,713

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. 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 8, 2024. The stock unit reported hereby was 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: 0001397911-23-000168 · wk-form4_1699999615.xml · derivative · entry 3

Larsen Sallie R. · CIK 0001548541 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,488 shares

Expires 2024-02-24

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 installments, beginning on February 24, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on February 24, 2017.

SEC source: 0001397911-23-000168 · wk-form4_1699999615.xml · nonDerivative · entry 2

Larsen Sallie R. · CIK 0001548541 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,196

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.43 to $227.02, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · balance_after: Consists of (i) 21,080 shares of Common Stock; (ii) 677 restricted stock units that vest in full on February 25, 2024; (iii) 908 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 2,531 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.

SEC source: 0001397911-23-000168 · wk-form4_1699999615.xml · nonDerivative · entry 1

Larsen Sallie R. · CIK 0001548541 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,684

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: 0001397911-23-000166 · wk-form4_1699999148.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 141,443.94

F1 · kind: This transaction was a charitable gift of securities by the reporting person.

F2 · balance_after: Consists of (i) 117,045.94 shares of Common Stock; (ii) 4,915 restricted stock units that vest in full on February 25, 2024; (iii) 7,837 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 11,646 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.

SEC source: 0001397911-23-000164 · wk-form4_1699481288.xml · nonDerivative · entry 1

Enyedi Matthew · CIK 0001798805 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,634

F1 · kind: This transaction was a charitable gift of securities by the reporting person.

F2 · balance_after: Consists of (i) 5,484 shares of Common Stock; (ii) 655 restricted stock units that vest in full on February 25, 2024; (iii) 1,014 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 1,481 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.

SEC source: 0001397911-23-000162 · wk-form4_1699307238.xml · nonDerivative · entry 1

Jambusaria Aneri · CIK 0001966430 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,802

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $222.11 to $222.40, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

F2 · balance_after: Consists of (i) 430 restricted stock units that vest in full on February 25, 2024; (ii) 596 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iii) 776 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.

SEC source: 0001397911-23-000153 · wk-form4_1695327483.xml · derivative · entry 6

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 77,603

Underlying: Common Stock · 353 shares

Expires 2027-03-13

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

F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2023.

F5 · derivative.exercise_date: This option became exercisable in three installments, beginning March 13, 2018, which was the first anniversary of the date on which it was granted. The option became fully vested on March 13, 2020.

SEC source: 0001397911-23-000153 · wk-form4_1695327483.xml · nonDerivative · entry 4

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 145,883.94

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2023.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $250.00 to $250.09, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

F4 · balance_after: Consists of (i) 121,485.94 shares of Common Stock; (ii) 4,915 restricted stock units that vest in full on February 25, 2024; (iii) 7,837 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 11,646 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.

SEC source: 0001397911-23-000153 · wk-form4_1695327483.xml · nonDerivative · entry 3

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 146,236.94

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

F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2023.

SEC source: 0001397911-23-000153 · wk-form4_1695327483.xml · derivative · entry 5

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 77,956

Underlying: Common Stock · 175 shares

Expires 2027-03-13

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

F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2023.

F5 · derivative.exercise_date: This option became exercisable in three installments, beginning March 13, 2018, which was the first anniversary of the date on which it was granted. The option became fully vested on March 13, 2020.

SEC source: 0001397911-23-000153 · wk-form4_1695327483.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 145,883.94

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2023.

SEC source: 0001397911-23-000153 · wk-form4_1695327483.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 146,058.94

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

F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 9, 2023.

SEC source: 0001397911-23-000151 · wk-form4_1694808907.xml · nonDerivative · entry 4

Steinmeier Richard · CIK 0001750576 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 16,914

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2023.

F5 · balance_after: Consists of (i) 11,896 shares of Common Stock; (ii) 1,420 restricted stock units that vest in full on February 25, 2024; (iii) 1,742 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 1,856 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.

SEC source: 0001397911-23-000151 · wk-form4_1694808907.xml · nonDerivative · entry 3

Steinmeier Richard · CIK 0001750576 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 17,014

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2023.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $243.56 to $244.22, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

SEC source: 0001397911-23-000151 · wk-form4_1694808907.xml · nonDerivative · entry 2

Steinmeier Richard · CIK 0001750576 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 18,214

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2023.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $242.43 to $243.36, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

SEC source: 0001397911-23-000151 · wk-form4_1694808907.xml · nonDerivative · entry 1

Steinmeier Richard · CIK 0001750576 · Managing Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 23,548

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2023.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $241.42 to $242.41, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

SEC source: 0001397911-23-000149 · wk-form4_1694722749.xml · nonDerivative · entry 1

Brown Althea · CIK 0001992638 · Managing Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,319

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 12, 2024, September 12, 2025 and September 12, 2026. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.

SEC source: 0001397911-23-000133 · wk-form4_1693346294.xml · nonDerivative · entry 2

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,992

F2 · shares: Represents stock units granted under the 2021 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: 0001397911-23-000133 · wk-form4_1693346294.xml · nonDerivative · entry 1

EBERHART PAULETT · CIK 0001179702 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,984

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. 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 8, 2024. The stock unit reported hereby was 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: 0001397911-23-000139 · wk-form4_1693347193.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,268.5

F2 · shares: Represents stock units granted under the 2021 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: 0001397911-23-000139 · wk-form4_1693347193.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,254.5

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. 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 8, 2024. The stock unit reported hereby was 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: 0001397911-23-000135 · wk-form4_1693346633.xml · nonDerivative · entry 2

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,210

F2 · shares: Represents stock units granted under the 2021 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: 0001397911-23-000135 · wk-form4_1693346633.xml · nonDerivative · entry 1

Glavin William Francis Jr · CIK 0001298173 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,191

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. 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 8, 2024. The stock unit reported hereby was 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: 0001397911-23-000141 · wk-form4_1693347412.xml · nonDerivative · entry 2

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,148.8345

F2 · shares: Represents stock units granted under the 2021 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: 0001397911-23-000141 · wk-form4_1693347412.xml · nonDerivative · entry 1

SCHIFTER RICHARD P · CIK 0001249554 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,123.8345

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. 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 8, 2024. The stock unit reported hereby was 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: 0001397911-23-000131 · wk-form4_1693345941.xml · nonDerivative · entry 2

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,543

F2 · shares: Represents stock units granted under the 2021 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: 0001397911-23-000131 · wk-form4_1693345941.xml · nonDerivative · entry 1

BERNARD EDWARD C · CIK 0001203065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,537

F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. 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 8, 2024. The stock unit reported hereby was 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: 0001397911-23-000143 · wk-form4_1693347633.xml · nonDerivative · entry 2

Thomas Corey E. · CIK 0001647486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,790

F2 · shares: Represents stock units granted under the 2021 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.