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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1397911	Lpl Financial Holdings Inc.	LPLA	Security & Commodity Brokers, Dealers, Exchanges & Services (6200)	203717839

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1466673	Lux Thomas	C/O Lpl Financial Holdings Inc. 75 State Street Boston MA 02109	Evp, Cao	No	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2014-02-28	4,000	$32.26	10,213	No	4	M	Direct
Common Stock	Disposition	2014-02-28	4,000	$53.98	6,213	No	4	S	Direct
Common Stock	Acquisiton	2014-02-28	2,200	$22.08	8,413	No	4	M	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Option to purchase common stock	Disposition	2014-02-28	4,000	$0.00	4,000	$32.26
Common Stock	Option to purchase common stock	Disposition	2014-02-28	2,200	$0.00	2,200	$22.08

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
6,843		2022-02-09	No	4	M	Direct
15,300		2019-09-14	No	4	M	Direct

Footnotes

Consists of (i) 3,992 shares of Common Stock; (ii) 1,566 restricted stock units that vest ratably on February 22, 2015, February 22, 2016 and February 22, 2017; (iii) 1,612 restricted stock units that vest in full on February 25, 2015; and (iv) 1,243 restricted stock units that vest ratably on February 24, 2015, February 24, 2016 and February 24, 2017.
This option, representing a right to purchase 10,843 shares, becomes exercisable in five equal installments beginning on February 9, 2013, which was the first anniversary of the grant date. Of the remaining 6,843 shares, 337 shares have vested and are exercisable, and 6,506 shares shall become exercisable ratably on February 9, 2015, February 9, 2016 and February 9, 2017.
This option, representing a right to purchase 20,000 shares, becomes exercisable in five equal installments beginning on September 14, 2010, which was the first anniversary of the grant date. Of the remaining 15,300 shares, 11,300 shares have vested and are exercisable, and 4,000 shares shall become exercisable on September 14, 2014.