| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Gates Greg | Group Managing Director | C/O LPL FINANCIAL, 4707 EXECUTIVE DRIVE, SAN DIEGO | /s/ Robert S. Hatfield III, attorney-in-fact | 27 Feb 2026 | 0001877100 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | LPLA | Common Stock | Award | $0 | +1,856 | +13% | $0.000000 | 16,476 | 25 Feb 2026 | Direct | F1 |
| transaction | LPLA | Common Stock | Tax liability | $411,782 | -1,293 | -7.8% | $318.47 | 15,183 | 25 Feb 2026 | Direct | |
| transaction | LPLA | Common Stock | Award | $0 | +2,774 | +18% | $0.000000 | 17,957 | 25 Feb 2026 | Direct | F2 |
| transaction | LPLA | Common Stock | Award | $0 | +2,807 | +16% | $0.000000 | 20,764 | 25 Feb 2026 | Direct | F3, F4 |
| Id | Content |
|---|---|
| F1 | Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2023. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending February 14, 2026. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 81% of the reporting person's target award. |
| F2 | 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, 2027, February 25, 2028 and February 25, 2029. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. |
| F3 | 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. One-half of these restricted stock units will vest on February 25, 2028 and the other half of such RSUs to vest on August 31, 2029. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. |
| F4 | Consists of (i) 12,458 shares of Common Stock; (ii) 511 restricted stock units that vest in full on June 12, 2026; (iii) 776 restricted stock units that vest in full on February 25, 2027; (iv) 1,438 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; and (v) the restricted stock units reported on this Form 4. |
The signatory is signing on behalf of Greg Gates pursuant to a Power of Attorney dated December 17, 2024.