James S. Putnam - Aug 29, 2025 Form 4 Insider Report for LPL Financial Holdings Inc. (LPLA)

Role
Director
Signature
/s/ Robert S. Hatfield III, attorney-in-fact
Stock symbol
LPLA
Transactions as of
Aug 29, 2025
Transactions value $
$0
Form type
4
Date filed
9/3/2025, 04:44 PM
Previous 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/ Robert S. Hatfield III, attorney-in-fact 2025-09-03 0001405298

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LPLA Common Stock Award $0 +7 +0.01% $0.00 137K Aug 29, 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 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.

Remarks:

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