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Putnam James S

Disclosed activity across 1 company

Tapewire entity
17912
SEC CIK
0001405298

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
LPL Financial Holdings Inc.LPLA · Entity 3160DirectorAugust 28, 2026September 01, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

LPL Financial Holdings Inc.

Report date August 28, 2026 · Filed September 01, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect135,297.5 Reported balance After 2026-08-28 transaction · row 1
1 source row

Row 1 · 2026-08-28 · Grant · Acquired 7 · Balance 135,297.5

F1: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Filing footnotes · ownership attribution and instrument terms

F1: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
August 28, 2026 Filed Sep 1, 2026 20:14 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 7 $0.00 $0.00
Disclosure

SEC source: 0001628280-26-059832 · wk-form4_1788293664.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,297.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Read SEC document
August 03, 2026 Filed Aug 4, 2026 20:16 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GiftCommon Stock 2,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-26-052599 · wk-form4_1785874607.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,290.5

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

Read SEC document
June 04, 2026 Filed Jun 8, 2026 20:11 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 10 $0.00 $0.00
Disclosure

SEC source: 0001628280-26-041550 · wk-form4_1780949508.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,290.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Read SEC document
May 15, 2026 Filed May 19, 2026 20:25 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 712 $0.00 $0.00
Disclosure

SEC source: 0001628280-26-036482 · wk-form4_1779222348.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,280.5

F1 · shares: Represents stock units granted under the Issuer's 2021 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 20, 2027. 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.

Read SEC document
May 07, 2026 Filed May 8, 2026 20:09 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GiftCommon Stock 100 $0.00 $0.00
Disclosure

SEC source: 0001628280-26-032865 · wk-form4_1778270938.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,568.5

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

Read SEC document
March 24, 2026 Filed Mar 26, 2026 20:17 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 10 $0.00 $0.00
Disclosure

SEC source: 0001628280-26-021434 · wk-form4_1774556251.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,668.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Read SEC document
December 01, 2025 Filed Dec 3, 2025 21:46 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 7 $0.00 $0.00
Disclosure

SEC source: 0001628280-25-055082 · wk-form4_1764798401.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,658.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Read SEC document
August 29, 2025 Filed Sep 3, 2025 20:44 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 7 $0.00 $0.00
Disclosure

SEC source: 0001397911-25-000139 · wk-form4_1756932274.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,651.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Read SEC document
June 12, 2025 Filed Jun 16, 2025 20:22 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 6 $0.00 $0.00
Disclosure

SEC source: 0001397911-25-000107 · wk-form4_1750105345.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,644.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Read SEC document
May 23, 2025 Filed May 28, 2025 20:50 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 602 $0.00 $0.00
Disclosure

SEC source: 0001397911-25-000082 · wk-form4_1748465432.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,638.5

F1 · shares: Represents stock units granted under the Issuer's 2021 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 13, 2026. 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.

Read SEC document
March 25, 2025 Filed Mar 26, 2025 20:18 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 8 $0.00 $0.00
Disclosure

SEC source: 0001397911-25-000051 · wk-form4_1743020313.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,036.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Read SEC document
December 02, 2024 Filed Dec 4, 2024 21:42 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 8 $0.00 $0.00
Disclosure

SEC source: 0001397911-24-000154 · wk-form4_1733348569.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,028.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Read SEC document
August 23, 2024 Filed Aug 27, 2024 20:45 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 16 $0.00 $0.00
Disclosure

SEC source: 0001397911-24-000124 · wk-form4_1724791520.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,020.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Read SEC document
June 04, 2024 Filed Jun 6, 2024 20:58 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 10 $0.00 $0.00
Disclosure

SEC source: 0001397911-24-000089 · wk-form4_1717707515.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,004.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Read SEC document
May 10, 2024 Filed May 14, 2024 20:44 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 699 $0.00 $0.00
Disclosure

SEC source: 0001397911-24-000071 · wk-form4_1715719454.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,994.5

F1 · shares: These shares represent restricted stock that was granted under the Issuer's 2021 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 21, 2025.

Read SEC document
March 26, 2024 Filed Mar 28, 2024 20:35 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 12 $0.00 $0.00
Disclosure

SEC source: 0001397911-24-000041 · wk-form4_1711658115.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,295.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Read SEC document
November 27, 2023 Filed Nov 29, 2023 22:20 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 14 $0.00 $0.00
Disclosure

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.

Read SEC document
November 27, 2023 Filed Nov 29, 2023 22:20 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 1 $0.00 $0.00
Disclosure

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.

Read SEC document
August 25, 2023 Filed Aug 29, 2023 22:13 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 14 $0.00 $0.00
Disclosure

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.

Read SEC document
August 25, 2023 Filed Aug 29, 2023 22:13 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 1 $0.00 $0.00
Disclosure

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.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 20:50 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 17 $0.00 $0.00
Disclosure

SEC source: 0001397911-23-000107 · wk-form4_1685998230.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,253.5

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.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 20:50 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 1 $0.00 $0.00
Disclosure

SEC source: 0001397911-23-000107 · wk-form4_1685998230.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,236.5

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.

Read SEC document
May 12, 2023 Filed May 16, 2023 20:06 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 506 $0.00 $0.00
Disclosure

SEC source: 0001397911-23-000093 · wf-form4_168426759990112.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,235.5

F2 · shares: The reporting person elected to receive these shares, which were granted under the 2021 Plan, in lieu of the cash portion of the annual retainer under the Policy.

Read SEC document
May 12, 2023 Filed May 16, 2023 20:06 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 784 $0.00 $0.00
Disclosure

SEC source: 0001397911-23-000093 · wf-form4_168426759990112.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,729.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. 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 (the "Policy").

Read SEC document
March 28, 2023 Filed Mar 30, 2023 20:21 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 16 $0.00 $0.00
Disclosure

SEC source: 0001397911-23-000057 · wf-form4_168020770340133.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,945.5

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.

Read SEC document
March 28, 2023 Filed Mar 30, 2023 20:21 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 1 $0.00 $0.00
Disclosure

SEC source: 0001397911-23-000057 · wf-form4_168020770340133.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,929.5

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 10, 2023. 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 10, 2023. 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.

Read SEC document
November 28, 2022 Filed Nov 30, 2022 22:41 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 10 $0.00 $0.00
Disclosure

SEC source: 0001397911-22-000174 · wf-form4_166984806772668.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,928.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Read SEC document
August 31, 2022 Filed Sep 2, 2022 21:09 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 12 $0.00 $0.00
Disclosure

SEC source: 0001397911-22-000140 · wf-form4_166215297519467.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,918.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Read SEC document
June 24, 2022 Filed Jun 28, 2022 22:04 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 13 $0.00 $0.00
Disclosure

SEC source: 0001397911-22-000109 · wf-form4_165645387709765.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,906.5

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.

Read SEC document
June 24, 2022 Filed Jun 28, 2022 22:04 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 1 $0.00 $0.00
Disclosure

SEC source: 0001397911-22-000109 · wf-form4_165645387709765.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,893.5

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 10, 2023. 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 10, 2023. 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.

Read SEC document
May 19, 2022 Filed May 23, 2022 22:52 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 525 $0.00 $0.00
Disclosure

SEC source: 0001397911-22-000088 · wf-form4_165334635525013.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,892.5

F2 · shares: The reporting person elected to receive these shares, which were granted under the 2021 Plan, in lieu of the cash portion of the annual retainer under the Policy.

Read SEC document
May 19, 2022 Filed May 23, 2022 22:52 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 814 $0.00 $0.00
Disclosure

SEC source: 0001397911-22-000088 · wf-form4_165334635525013.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,367.5

F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. 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 (the "Policy").

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March 29, 2022 Filed Mar 31, 2022 21:10 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 13 $0.00 $0.00
Disclosure

SEC source: 0001397911-22-000056 · wf-form4_164876097299444.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,553.5

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.

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March 29, 2022 Filed Mar 31, 2022 21:10 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 1 $0.00 $0.00
Disclosure

SEC source: 0001397911-22-000056 · wf-form4_164876097299444.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,540.5

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 17, 2022. 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 17, 2022. 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.

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November 29, 2021 Filed Dec 1, 2021 21:56 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 15 $0.00 $0.00
Disclosure

SEC source: 0001397911-21-000196 · wf-form4_163839575262626.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,539.5

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.

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November 29, 2021 Filed Dec 1, 2021 21:56 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 1 $0.00 $0.00
Disclosure

SEC source: 0001397911-21-000196 · wf-form4_163839575262626.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,524.5

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 17, 2022. 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 17, 2022. 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.

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August 27, 2021 Filed Aug 31, 2021 22:28 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 17 $0.00 $0.00
Disclosure

SEC source: 0001397911-21-000168 · wf-form4_163044889628029.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,523.5

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.

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August 27, 2021 Filed Aug 31, 2021 22:28 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 1 $0.00 $0.00
Disclosure

SEC source: 0001397911-21-000168 · wf-form4_163044889628029.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,506.5

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 17, 2022. 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 17, 2022. 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.

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June 07, 2021 Filed Jun 9, 2021 21:47 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 17 $0.00 $0.00
Disclosure

SEC source: 0001397911-21-000132 · wf-form4_162327523603789.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,505.5

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.

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June 07, 2021 Filed Jun 9, 2021 21:47 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 1 $0.00 $0.00
Disclosure

SEC source: 0001397911-21-000132 · wf-form4_162327523603789.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,488.5

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 17, 2022. 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 17, 2022. 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.

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May 06, 2021 Filed May 11, 2021 00:11 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 1,051 $0.00 $0.00
Disclosure

SEC source: 0001397911-21-000106 · wf-form4_162069185269596.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,487.5

F1 · shares: Represents stock units granted under the Issuer's 2021 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 17, 2022. 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.

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March 30, 2021 Filed Apr 1, 2021 21:02 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 17 $0.00 $0.00
Disclosure

SEC source: 0001397911-21-000084 · wf-form4_161731093871552.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,436.5

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

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November 30, 2020 Filed Dec 3, 2020 02:11 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 29 $0.00 $0.00
Disclosure

SEC source: 0001397911-20-000219 · wf-form4_160696145305563.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,419.5

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

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August 28, 2020 Filed Sep 1, 2020 22:48 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 32 $0.00 $0.00
Disclosure

SEC source: 0001397911-20-000178 · wf-form4_159900046560519.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,390.5

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

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June 12, 2020 Filed Jun 16, 2020 21:38 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 32 $0.00 $0.00
Disclosure

SEC source: 0001397911-20-000144 · wf-form4_159234347347648.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,358.5

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

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May 07, 2020 Filed May 11, 2020 22:31 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 1,435 $0.00 $0.00
Disclosure

SEC source: 0001397911-20-000116 · wf-form4_158923624949421.xml · nonDerivative · entry 2

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,326.5

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.

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May 07, 2020 Filed May 11, 2020 22:31 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 2,780 $0.00 $0.00
Disclosure

SEC source: 0001397911-20-000116 · wf-form4_158923624949421.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,891.5

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 4, 2021.

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March 31, 2020 Filed Apr 2, 2020 20:58 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 48 $0.00 $0.00
Disclosure

SEC source: 0001397911-20-000084 · wf-form4_158586108708431.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,111.5

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

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November 21, 2019 Filed Nov 25, 2019 22:50 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 29 $0.00 $0.00
Disclosure

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

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,063.5

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

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August 23, 2019 Filed Aug 27, 2019 22:41 UTC LPL Financial Holdings Inc. LPLA · Entity 3160 GrantCommon Stock 35 $0.00 $0.00
Disclosure

SEC source: 0001397911-19-000133 · wf-form4_156694568957999.xml · nonDerivative · entry 1

Putnam James S · CIK 0001405298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,034.5

F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.