Form 4 for LPLA LPL Financial Holdings Inc.

Accepted 2026-05-19 16:30:18 ET · period of report 2026-05-15 · accession 0001628280-26-036493 · 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	2026-05-19 16:30	2026-05-15	LPLA	Thomas Corey E.	Dir	A - Grant	$0.00	+1,060	14.9K	+8%	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2026-05-15	A	A	712	$0.00	14,553	D	—	—	(F1) Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 20, 2027. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP") pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy").
2	Common	Common Stock	2026-05-15	A	A	348	$0.00	14,901	D	—	—	(F2) Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. These stock units are subject to a written deferral election under the DDCP pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy.