LPL director Putnam granted 7 stock units

LPL Financial Holdings Inc. (LPLA) reported that director James S. Putnam acquired 7 stock units of common stock-equivalent on 2026-08-28 as a grant/award.

Rhea-AI Filing Summary

LPL Financial Holdings Inc. (LPLA) reported that director James S. Putnam acquired 7 stock units of common stock-equivalent on 2026-08-28 as a grant/award. These fully vested units were credited to his Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend and bring his direct holdings to 135,297.5 shares/units of common stock.

Insider Trade Summary

Grant/Award: 7 shares

Grant/Award 1 txn

Insider Putnam James S

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	7	$0.00	$0.00

Holdings After Transaction: Common Stock — 135,297.5 shares (Direct)

Footnotes (1)

1. F1. Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Key Figures

Stock units acquired: 7 stock units Total holdings after transaction: 135,297.5 shares/stock units Transaction price per share: $0.0000 per share +1 more

4 metrics

Stock units acquired 7 stock units Grant/award acquisition on 2026-08-28 credited for a quarterly cash dividend

Total holdings after transaction 135,297.5 shares/stock units Direct ownership of LPL Financial Holdings Inc. common stock-equivalent following the Form 4 transaction

Transaction price per share $0.0000 per share Grant/award of stock units with no cash price under the equity incentive plan

Transaction date 2026-08-28 Date on which the 7 stock units were credited to the DDCP account

Key Terms

2021 Omnibus Equity Incentive Plan, Non-Employee Director Deferred Compensation Plan, stock units, DDCP

4 terms

2021 Omnibus Equity Incentive Plan financial

"Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan."

Non-Employee Director Deferred Compensation Plan financial

"subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan"

stock units financial

"Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan."

Stock units are individual pieces of ownership in a company, like slices of a pie that together make up the whole business. They matter to investors because each unit represents a claim on the company’s assets, profits and sometimes voting power, and changes in the number or value of these units affect ownership percentages, potential dividends and share dilution — all of which influence an investment’s worth.

DDCP financial

"The stock units reported hereby were credited to the reporting person's DDCP account"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did LPLA director James S. Putnam report on this Form 4?

James S. Putnam reported an acquisition of 7 stock units tied to LPL Financial Holdings Inc. common stock on 2026-08-28, received as a grant/award credited in connection with a quarterly cash dividend under a company compensation plan.

How many LPLA shares or units does James S. Putnam hold after this transaction?

After the reported grant, James S. Putnam directly holds 135,297.5 shares/stock units of LPL Financial Holdings Inc. common stock, as stated as the total following the transaction.

What is the nature of the 7 LPLA stock units reported by James S. Putnam?

The 7 stock units represent fully vested units granted under LPL’s 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and was credited in connection with a quarterly cash dividend.

Which LPLA compensation plan governs the deferral of James S. Putnam’s stock units?

The deferral of James S. Putnam’s stock units is governed by LPL’s Non-Employee Director Deferred Compensation Plan (DDCP), to which these fully vested stock units were credited in connection with a quarterly cash dividend.

Was James S. Putnam’s LPLA Form 4 transaction reported as a 10b5-1 plan trade?

No. The Form 4 indicates the Rule 10b5-1 checkbox as false, so this reported acquisition of stock units was not affirmed as being made pursuant to a Rule 10b5-1 trading plan.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/01/2026 - 04:15 PM EDT Accepted by SEC EDGAR 09/01/2026 - 04:14 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Putnam James S

(Last) (First) (Middle)

C/O LPL FINANCIAL HOLDINGS INC.

4707 EXECUTIVE DRIVE

(Street)

SAN DIEGO CALIFORNIA 92121

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
LPL Financial Holdings Inc. [ LPLA ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/28/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	08/28/2026		A		7(1)	A	$0	135,297.5	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

Remarks:

The signatory is signing on behalf of James S. Putnam pursuant to a Power of Attorney dated November 21, 2024.

	/s/ Robert S. Hatfield III, attorney-in-fact	09/01/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)