Form 4 for LPLA LPL Financial Holdings Inc.
Accepted 2025-12-09 00:00:00 ET · period of report 2025-12-05 · accession 0001628280-25-056211 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| M | 2025-12-09 | 2025-12-05 | LPLA | Steinmeier Richard | CEO | S - Sale | $370.99 | -5,058 | 14.1K | -26% | -$1.88M |
| I | 2025-12-09 | 2025-12-05 | LPLA | Steinmeier Richard | CEO | G - Gift | $0.00 | -275 | 16.8K | -2% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2025-12-05 | S | D | 274 | $373.20 | 9,326 | D | — | — | (F7) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $372.89 to $373.77, 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 range set forth in this footnote (7) to this Form 4. (F8) Consists of (i) 619 restricted stock units that vest in full on February 25, 2026; (ii) 1,736 restricted stock units that vest ratably on each of February 25, 2026 and February 25, 2027; and (iii) 6,971 restricted stock units that vest ratably on each of February 25, 2026, February 25, 2027 and February 25, 2028. |
| 2 | Common | Common Stock | 2025-12-05 | S | D | 779 | $372.20 | 9,600 | D | — | — | (F6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $371.87 to $372.80, 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 range set forth in this footnote (6) to this Form 4. |
| 3 | Common | Common Stock | 2025-12-05 | S | D | 2,450 | $371.23 | 10,379 | D | — | — | (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $370.85 to $371.83, 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 range set forth in this footnote (5) to this Form 4. |
| 4 | Common | Common Stock | 2025-12-05 | S | D | 1,040 | $370.62 | 12,829 | D | — | — | (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $369.85 to $370.84, 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 range set forth in this footnote (4) to this Form 4. |
| 5 | Common | Common Stock | 2025-12-05 | S | D | 183 | $368.63 | 13,869 | D | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $368.53 to $369.11, 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 range set forth in this footnote (3) to this Form 4. |
| 6 | Common | Common Stock | 2025-12-05 | S | D | 332 | $367.06 | 14,052 | D Held by Trust | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $366.99 to $367.39, 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 range set forth in this footnote (2) to this Form 4. (F11) The reporting person and his spouse are co-trustees of the trust and its sole beneficiaries. The reporting person remains the beneficial owner of, and retains his pecuniary interest in, the securities held by the trust. |
| 7 | Common | Common Stock | 2025-12-05 | G | D | 275 | $0.00 | 16,812.70 | I | — | — | (F10) Includes 18.1 shares acquired on August 29, 2025 and 14.5 shares acquired on December 1, 2025 under a dividend reinvestment plan. |