LPL director gets 3 stock units in equity award

LPL Financial Holdings Inc. (LPLA) reported that director Edward C. Bernard received an automatic grant of 3 stock units of common stock on August 28, 2026.

Rhea-AI Filing Summary

LPL Financial Holdings Inc. (LPLA) reported that director Edward C. Bernard received an automatic grant of 3 stock units of common stock on August 28, 2026. These stock units were credited under LPL’s Non-Employee Director Deferred Compensation Plan as dividend equivalents on previously deferred, fully vested stock units.

Each stock unit represents the right to receive one share of LPL common stock and is fully vested, with a reported acquisition price of $0.00 per share. Following this award, Bernard’s directly held stock units and shares total 16,262.

Insider Trade Summary

Grant/Award: 3 shares

Grant/Award 1 txn

Insider BERNARD EDWARD C

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	3	$0.00	$0.00

Holdings After Transaction: Common Stock — 16,262 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: 3 stock units Acquisition price per share: $0.0000 per share Total shares and stock units following transaction: 16,262

3 metrics

Stock units granted 3 stock units Grant to director Edward C. Bernard on August 28, 2026

Acquisition price per share $0.0000 per share Non-cash stock unit award under equity plan

Total shares and stock units following transaction 16,262 Holdings of Edward C. Bernard after August 28, 2026 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

What insider transaction did LPLA disclose for Edward C. Bernard?

LPL Financial Holdings Inc. disclosed that director Edward C. Bernard received 3 fully vested stock units of common stock on August 28, 2026, credited as dividend equivalents under the Non-Employee Director Deferred Compensation Plan.

How many LPLA shares or stock units does Edward C. Bernard hold after this transaction?

After the August 28, 2026 grant, Edward C. Bernard holds a total of 16,262 shares and stock units of LPL Financial Holdings Inc. common stock in direct ownership.

What was the price per share for the LPLA stock units granted to Edward C. Bernard?

The 3 stock units of LPL Financial Holdings Inc. common stock granted to Edward C. Bernard on August 28, 2026 had a reported acquisition price of $0.00 per share, reflecting a non-cash equity award rather than a market purchase.

Under which plans were Edward C. Bernard’s new LPLA stock units issued?

The 3 new stock units were granted under LPL’s 2021 Omnibus Equity Incentive Plan and credited to Bernard’s account under the Non-Employee Director Deferred Compensation Plan as dividend equivalents on previously deferred, fully vested stock units.

Are the newly granted LPLA stock units to Edward C. Bernard vested?

Yes. The 3 stock units granted to Edward C. Bernard are described as fully vested, each representing the right to receive one share of LPL Financial Holdings Inc. common stock.

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Available on EDGAR 09/01/2026 - 04:08 PM Accepted by SEC EDGAR 09/01/2026 - 04:07 PM 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^*

BERNARD EDWARD C

(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		3(1)	A	$0	16,262	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 Edward C. Bernard 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)