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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
1647085	Thomas Gooley	C/O Lpl Financial Holdings Inc., 75 State Street, 22Nd Floor Boston MA 02109	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	Explanation
Common Stock	Acquisiton	2018-12-12	29,876	$19.85	51,168	No	4	M	Direct
Common Stock	Disposition	2018-12-12	29,876	$60.72	21,292	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	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	2018-12-12	29,876	$0.00	29,876	$19.85

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
14,938		2026-02-25	No	4	M	Direct

Footnotes

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.62 to $61.25 per share, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.
Consists of (i) 7,997 shares of Common Stock; (ii) 1,830 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 976 restricted stock units that vest in full on June 13, 2019; (v) 3,958 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 3,420 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021.
This option, representing a right to purchase a total of 44,814 shares, becomes exercisable in three equal installments, beginning on February 25, 2017, which was the first anniversary of the date on which it was granted. The option shall become vested with regard to the remaining 14,938 underlying shares on February 25, 2019.