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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
1712038	Scott Seese	C/O Lpl Financial Holdings Inc. 4707 Executive Drive San Diego CA 92121	Managing Director	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	Disposition	2021-02-25	1,307	$132.10	23,553	No	4	F	Direct
Common Stock	Acquisiton	2021-02-25	2,948	$0.00	26,501	No	4	A	Direct
Common Stock	Disposition	2021-02-26	907	$130.23	25,594	No	4	S	Direct

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

Footnotes

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 25, 2022, February 25, 2023, and February 25, 2024. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.
The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2020.
Consists of (i) 18,372 shares of Common Stock; (ii) 1,364 restricted stock units that vest in full on February 25, 2022; (iii) 2,910 the restricted stock units that vest ratably on each of February 25, 2022, and February 25, 2023; and (iv) the restricted stock units reported on this Form 4.