James S. Putnam - May 23, 2025 Form 4 Insider Report for LPL Financial Holdings Inc. (LPLA)

Role
Director
Signature
/s/ Rachel E. Pearlman, attorney-in-fact
Stock symbol
LPLA
Transactions as of
May 23, 2025
Transactions value $
$0
Form type
4
Date filed
5/28/2025, 04:50 PM
Previous filing
Mar 26, 2025
Next filing
Jun 16, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Putnam James S Director C/O LPL FINANCIAL HOLDINGS INC., 4707 EXECUTIVE DRIVE, SAN DIEGO /s/ Rachel E. Pearlman, attorney-in-fact 2025-05-28 0001405298

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LPLA Common Stock Award $0 +602 +0.44% $0.00 137K May 23, 2025 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 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.

Remarks:

The signatory is signing on behalf of James S. Putnam pursuant to a Power of Attorney dated November 21, 2024.