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LPL Financial (NASDAQ: LPLA) exec's 10b5-1 sale and 6,107-share stake

Filing Impact
(Moderate)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

LPL Financial Holdings Inc. (LPLA) officer Aneri Jambusaria, Group Managing Director, reported selling 308 shares of Common Stock on August 27, 2026 at $357.36 per share in an open-market transaction. The sale was effected pursuant to a Rule 10b5-1 trading plan adopted on November 3, 2025. Following this sale, Jambusaria reports beneficial ownership of 6,107 shares, consisting of 3,687 shares of Common Stock and restricted stock units totaling 380, 738, and 1,302 units that vest between February 25, 2027 and February 25, 2029.

Positive

  • None.

Negative

  • None.
Insider Jambusaria Aneri
Role Group Managing Director
Sold 308 shs ($110K)
Type Security Shares Price Value
Sale Common Stock F1, F2 308 $357.36 $110K
Holdings After Transaction: Common Stock — 6,107 shares (Direct)
Footnotes (2)
  1. F1. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 3, 2025.
  2. F2. Consists of (i) 3,687 shares of Common Stock; (ii) 380 restricted stock units that vest in full on February 25, 2027; (iii) 738 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; and (iv) 1,302 restricted stock units that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029.
Shares sold 308 shares of Common Stock Sale on August 27, 2026 by Group Managing Director Aneri Jambusaria
Sale price per share $357.36 per share Price for the 308 shares sold on August 27, 2026
Shares beneficially owned after transaction 6,107 shares Total beneficial ownership reported after the August 27, 2026 sale
Common Stock held after transaction 3,687 shares of Common Stock Portion of total 6,107-share beneficial ownership
Restricted stock units vesting February 25, 2027 380 restricted stock units RSUs that vest in full on February 25, 2027
Restricted stock units vesting 2027–2028 738 restricted stock units RSUs vesting ratably on February 25, 2027 and February 25, 2028
Restricted stock units vesting 2027–2029 1,302 restricted stock units RSUs vesting ratably on February 25, 2027, 2028 and 2029
Rule 10b5-1 trading plan regulatory
"The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan"
A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.
restricted stock units financial
"Consists of (i) 3,687 shares of Common Stock; (ii) 380 restricted stock units"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
vesting financial
"restricted stock units that vest in full on February 25, 2027"
Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

FAQ

What insider transaction did LPLA executive Aneri Jambusaria report?
Aneri Jambusaria reported a sale of 308 shares of LPL Financial Holdings Inc. Common Stock on August 27, 2026 at $357.36 per share in an open-market or private transaction.

Was the LPLA stock sale by Aneri Jambusaria under a Rule 10b5-1 plan?
Yes. The filing states the sale was effected pursuant to a Rule 10b5-1 trading plan adopted by Aneri Jambusaria on November 3, 2025.

How many LPLA shares does Aneri Jambusaria own after the reported sale?
After the transaction, Aneri Jambusaria reports beneficial ownership of 6,107 shares, including 3,687 shares of Common Stock and multiple restricted stock unit awards scheduled to vest between February 25, 2027 and February 25, 2029.

What restricted stock units does Aneri Jambusaria hold in LPLA?
Reported holdings include 380 restricted stock units vesting in full on February 25, 2027; 738 units vesting ratably on February 25, 2027 and February 25, 2028; and 1,302 units vesting ratably on February 25, 2027, 2028, and 2029.

What is Aneri Jambusaria’s role at LPL Financial Holdings Inc. (LPLA)?
The reporting person, Aneri Jambusaria, is identified as a Group Managing Director of LPL Financial Holdings Inc.

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SEC Form 4
FORM 4UNITED 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).
X
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*
Jambusaria Aneri
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
Group Managing Director
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/27/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock08/27/2026S(1)308D$357.366,107(2)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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 3, 2025.
2. Consists of (i) 3,687 shares of Common Stock; (ii) 380 restricted stock units that vest in full on February 25, 2027; (iii) 738 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; and (iv) 1,302 restricted stock units that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029.
Remarks:
The signatory is signing on behalf of Aneri Jambusaria pursuant to a Power of Attorney dated December 17, 2024.
/s/ Robert S. Hatfield III, attorney-in-fact08/31/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR