LPL Financial Holdings Inc
For the period ended Dec 31, 2023. Filed Feb 21, 2024.
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FY2023 · Filed Feb 21, 2024
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Item 9B. Other Information
During the three months ended December 31, 2023, certain of our officers (as defined in Rule 16a-1(f) under the Exchange Act) entered into contracts, instructions or written plans for the purchase or sale of our common stock that are intended to satisfy the affirmative defense conditions specified in Rule 10b5-1(c) under the Exchange Act (“Rule 10b5-1 trading arrangements”). The table below sets forth certain information regarding such Rule 10b5-1 trading arrangements:
| Officer | Date of Plan Adoption | Commencement of Trading Period | Termination of Trading Period(1) | Maximum Number of Securities to be Purchased or Sold Pursuant to the Rule 10b5-1 Trading Arrangements | Purchase or Sale |
|---|---|---|---|---|---|
| Dan Arnold, President and Chief Executive Officer | November 20, 2023 | February 20, 2024 | June 7, 2024 | 88,800 | Sale |
| Matthew Enyedi, Managing Director, Client Success | November 20, 2023 | February 20, 2024 | May 20, 2024 | 3,781 | Sale |
| Kabir Sethi, Managing Director, Chief Product Officer | November 20, 2023 | February 26, 2024 | March 1, 2024 | 1,492 | Sale |
| Matthew Audette, Chief Financial Officer and Head of Business Operations | November 2, 2023 | February 5, 2024 | April 15, 2024 | 39,006 | Sale |
(1)Represents the outside termination date pursuant to terms of each applicable plan. The agreement governing the applicable plan may terminate earlier pursuant to its terms in certain circumstances outside of the control of the applicable officer, including if all trades under the plan are completed prior to the termination of the trading period.
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