LPL director Thomas granted 4 stock units

LPL Financial Holdings Inc. (LPLA) reported that director Corey E. Thomas acquired 4 stock units of common stock on August 28, 2026.

Rhea-AI Filing Summary

LPL Financial Holdings Inc. (LPLA) reported that director Corey E. Thomas acquired 4 stock units of common stock on August 28, 2026. The units were credited at $0.00 per unit under LPL’s 2021 Omnibus Equity Incentive Plan as a fully vested award tied to a quarterly cash dividend and deferred into the Non-Employee Director Deferred Compensation Plan. Following this grant, Thomas directly holds 14,912 shares/units of LPL common stock.

Insider Trade Summary

Grant/Award: 4 shares

Grant/Award 1 txn

Insider Thomas Corey E.

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	4	$0.00	$0.00

Holdings After Transaction: Common Stock — 14,912 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: 4 stock units Price per stock unit: $0.0000 per unit Total holdings after transaction: 14,912 shares/units +1 more

4 metrics

Stock units acquired 4 stock units Grant/award acquisition on August 28, 2026

Price per stock unit $0.0000 per unit Reported transaction price for the August 28, 2026 grant

Total holdings after transaction 14,912 shares/units Direct ownership of LPL common stock following the grant

Plan year 2021 LPL Financial Holdings Inc. 2021 Omnibus Equity Incentive Plan

Key Terms

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

4 terms

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.

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"

DDCP financial

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

FAQ

What did LPLA director Corey E. Thomas report in this Form 4?

Corey E. Thomas reported the acquisition of 4 fully vested stock units of LPL Financial Holdings Inc. common stock on August 28, 2026, credited in connection with a quarterly cash dividend and deferred into the Non-Employee Director Deferred Compensation Plan.

How many LPLA shares or units does Corey E. Thomas hold after this transaction?

After the reported transaction, Corey E. Thomas directly holds 14,912 shares/units of LPL Financial Holdings Inc. common stock, as disclosed in the Form 4 filing.

What is the nature of the 4 LPLA stock units granted to Corey E. Thomas?

The 4 units are stock units granted under LPL’s 2021 Omnibus Equity Incentive Plan, each representing the right to receive one share of common stock. They are fully vested and were credited as dividend-equivalent units into his deferred compensation plan account.

Was the LPLA Form 4 transaction by Corey E. Thomas under a Rule 10b5-1 plan?

No. The Form 4 indicates the Rule 10b5-1 checkbox is not checked, and the footnote does not state that the transaction was effected pursuant to a Rule 10b5-1 trading plan.

What plan governs the deferred stock units reported by LPLA for Corey E. Thomas?

The stock units are associated with LPL’s Non-Employee Director Deferred Compensation Plan (DDCP). Previously granted stock units under this plan are fully vested and held in a DDCP account for Corey E. Thomas.

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Available on EDGAR 09/01/2026 - 04:18 PM Accepted by SEC EDGAR 09/01/2026 - 04:18 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^*

Thomas Corey E.

(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		4(1)	A	$0	14,912	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 Corey E. Thomas pursuant to a Power of Attorney dated November 25, 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)