LPL director Mnookin awarded 2 stock units

LPL Financial Holdings Inc. (LPLA) director Allison Mnookin reported an acquisition of 2 stock units of common stock on August 28, 2026.

Rhea-AI Filing Summary

LPL Financial Holdings Inc. (LPLA) director Allison Mnookin reported an acquisition of 2 stock units of common stock on August 28, 2026. The units were granted under LPL’s 2021 Omnibus Equity Incentive Plan and credited to her Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend, and are fully vested. Following this award, she directly holds a total of 11,763 shares/stock units of common stock.

Insider Trade Summary

Grant/Award: 2 shares

Grant/Award 1 txn

Insider Mnookin Allison

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	2	$0.00	$0.00

Holdings After Transaction: Common Stock — 11,763 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 granted: 2 stock units Total shares/stock units following transaction: 11,763 shares/stock units Transaction price per share: $0.0000 per share

3 metrics

Stock units granted 2 stock units Grant under 2021 Omnibus Equity Incentive Plan on 2026-08-28

Total shares/stock units following transaction 11,763 shares/stock units Direct holdings of common stock after reported award

Transaction price per share $0.0000 per share Award of stock units with no cash price in the grant

Key Terms

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

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.

fully vested financial

"Each stock unit represents the right to receive one share of common stock and is fully vested."

FAQ

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

What did LPLA director Allison Mnookin report in this Form 4 filing?

She reported an acquisition of 2 stock units of common stock on August 28, 2026. These fully vested units were granted under LPL’s 2021 Omnibus Equity Incentive Plan and credited to her Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend.

How many LPLA shares or stock units does Allison Mnookin hold after this transaction?

After this transaction, Allison Mnookin directly holds 11,763 shares/stock units of LPL Financial Holdings Inc. common stock, as reported in the Form 4 as the total shares following the transaction.

What is the nature of the 2 LPLA stock units granted to Allison Mnookin?

The 2 stock units were granted under the 2021 Omnibus Equity Incentive Plan, each representing the right to receive one share of LPL common stock. They are fully vested and were credited in connection with a quarterly cash dividend to her deferred compensation plan account.

Was the reported LPLA Form 4 transaction a market purchase or sale?

No. The Form 4 describes the transaction as a grant or award acquisition (transaction code A), not a market purchase or sale. The 2 fully vested stock units were credited under the company’s equity and deferred compensation plans in connection with a quarterly cash dividend.

Is Allison Mnookin’s Form 4 transaction under a Rule 10b5-1 plan for LPLA?

The filing’s Rule 10b5-1 checkbox is not marked as affirming such a plan (aff_10b5_one is false). The footnote instead explains the award as stock units credited under LPL’s equity and Non-Employee Director Deferred Compensation Plan in connection with a quarterly cash dividend.

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

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Available on EDGAR 09/01/2026 - 04:14 PM EDT Accepted by SEC EDGAR 09/01/2026 - 04:12 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^*

Mnookin Allison

(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		2(1)	A	$0	11,763	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 Allison Mnookin pursuant to a Power of Attorney dated November 19, 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)