Marc Cohen sells 2,212 shares of LPLA (NASDAQ: LPLA) for $682,955.22

Rhea-AI Filing Summary

Marc Cohen reported the sale of 2,212 common shares of LPLA on 03/09/2026 for $682,955.22. The filing also lists prior acquisitions and issuer-issued stock events (ESPP purchases and restricted stock vesting) across 2021–2026, including a 812-share restricted stock vesting on 02/25/2026.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Fidelity Brokerage Services LLC 900 Salem Street Smithfield RI 02917	1089	337045.02	80080181	03/10/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	11/12/2021	ESPP Purchase	Issuer			1	11/12/2021	Cash
Common	02/04/2022	ESPP Purchase	Issuer			1	02/04/2022	Cash
Common	05/13/2022	ESPP Purchase	Issuer			14	05/13/2022	Cash
Common	08/05/2022	ESPP Purchase	Issuer			12	08/05/2022	Cash
Common	11/10/2022	ESPP Purchase	Issuer			11	11/10/2022	Cash
Common	02/03/2023	ESPP Purchase	Issuer			9	02/03/2023	Cash
Common	05/12/2023	ESPP Purchase	Issuer			13	05/12/2023	Cash
Common	08/04/2023	ESPP Purchase	Issuer			11	08/04/2023	Cash
Common	11/10/2023	ESPP Purchase	Issuer			11	11/10/2023	Cash
Common	02/02/2024	ESPP Purchase	Issuer			10	02/02/2024	Cash
Common	02/25/2024	Restricted Stock Vesting	Issuer			1	02/25/2024	Compensation
Common	05/10/2024	ESPP Purchase	Issuer			10	05/10/2024	Cash
Common	06/12/2024	Restricted Stock Vesting	Issuer			54	06/12/2024	Compensation
Common	08/02/2024	ESPP Purchase	Issuer			11	08/02/2024	Cash
Common	11/08/2024	ESPP Purchase	Issuer			12	11/08/2024	Cash
Common	02/25/2025	Restricted Stock Vesting	Issuer			55	02/25/2025	Compensation
Common	06/12/2025	Restricted Stock Vesting	Issuer			41	06/12/2025	Compensation
Common	02/25/2026	Restricted Stock Vesting	Issuer			812	02/25/2026	Compensation

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Marc Cohen 4707 Executive Drive San Diego CA 92121	Common	03/09/2026	2212	682955.22

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What did Marc Cohen report in the LPLA Form 144?

Marc Cohen reported a sale of 2,212 LPLA common shares on 03/09/2026 for $682,955.22. The filing itemizes historical ESPP purchases and restricted stock vestings between 11/12/2021 and 02/25/2026 that explain the source of shares.

How many LPLA shares did Marc Cohen sell and when?

He sold 2,212 shares on 03/09/2026. The Form 144 shows the trade date and aggregate sale proceeds of $682,955.22, reported in the filing's sales section.

What proceeds were reported from the LPLA sale by Marc Cohen?

The aggregate proceeds reported were $682,955.22. That figure is listed alongside the 03/09/2026 sale of 2,212 common shares in the Form 144 excerpt.

Does the filing show how Marc Cohen obtained the LPLA shares?

The filing lists ESPP purchases and restricted stock vestings as sources of shares. Entries span from 11/12/2021 through 02/25/2026, including ESPP purchases and multiple restricted stock vesting events.

Is there any recent vesting disclosed in the LPLA Form 144?

Yes; a restricted stock vesting of 812 shares is listed for 02/25/2026. That vesting appears among other issuer-issued compensation events shown in the filing.