LPL Financial Holdings Inc. — Director's Dealing 2018

Aug 28, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: LPL Financial Holdings Inc. (LPLA)
CIK: 0001397911
Period of Report: 2018-08-23

Reporting Person: SCHIFTER RICHARD P (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-08-23	Common Stock	A	9	—	Acquired	41284.8345	Direct
2018-08-23	Common Stock	A	42	—	Acquired	41326.8345	Direct

Footnotes

F1: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 7, 2019. 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 scheduled to vest in full on May 7, 2019. 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.

F2: Represents stock units granted under the 2010 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 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.