LPL Financial Holdings Inc
For the period ended Mar 31, 2025. Filed May 9, 2025.
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Mar 31, 2025 · Filed May 9, 2025
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Item 5. Other Information
During the three months ended March 31, 2025, certain of our officers (as defined in Rule 16a-1(f) under the Exchange Act)entered into, modified orterminated 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.
| 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 |
|---|---|---|---|---|---|
| Gregory Gates, Group Managing Director, Chief Technology & Information Officer | March 7, 2025 | June 5, 2025 | June 4, 2026 | 9,000 | 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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