LPL executive sells 308 shares under trading plan

LPL Financial Holdings executive Aneri Jambusaria sold 308 shares of common stock in an open-market transaction at $306 per share.

Rhea-AI Filing Summary

LPL Financial Holdings executive Aneri Jambusaria sold 308 shares of common stock in an open-market transaction at $306 per share. After the sale, she holds 6,415 shares, including time-vested restricted stock units scheduled to vest between February 2027 and February 2029. The trade was executed under a pre-arranged Rule 10b5-1 trading plan adopted on November 3, 2025.

Insider Trade Summary 10b5-1

Net Seller: 308 shares

Net Sell 1 txn

Insider Jambusaria Aneri

Role Group Managing Director

Sold 308 shs ($94K)

Type	Security	Shares	Price	Value
Sale	Common Stock	308	$306.00	$94K

Holdings After Transaction: Common Stock — 6,415 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) 3,995 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.

Key Figures

Shares sold: 308 shares Sale price per share: $306.00 per share Shares held after transaction: 6,415 shares +2 more

5 metrics

Shares sold 308 shares Open-market sale of common stock on June 17, 2026

Sale price per share $306.00 per share Price for the 308 shares sold

Shares held after transaction 6,415 shares Total holdings following the reported sale

RSUs vesting 2027 (single tranche) 380 units Restricted stock units vesting in full on February 25, 2027

RSUs vesting 2027–2029 (largest tranche) 1,302 units RSUs vesting ratably on Feb 25, 2027, 2028 and 2029

Key Terms

Rule 10b5-1 trading plan, restricted stock units, open-market sale, Common Stock

4 terms

Rule 10b5-1 trading plan regulatory

"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."

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) 3,995 shares of Common Stock; (ii) 380 restricted stock units that vest in full on February 25, 2027;"

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.

open-market sale financial

"transaction_action: open-market sale"

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

Common Stock financial

"security_title: Common Stock"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

FAQ

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

What insider transaction did LPL Financial (LPLA) report for Aneri Jambusaria?

LPL Financial reported that Group Managing Director Aneri Jambusaria sold 308 shares of common stock in an open-market transaction at $306 per share. This is a routine Form 4 disclosure of insider trading activity for regulatory transparency.

How many LPL Financial (LPLA) shares does Aneri Jambusaria hold after this sale?

After the sale, Aneri Jambusaria holds 6,415 LPL Financial shares. This figure includes directly held common stock and several tranches of restricted stock units scheduled to vest fully or ratably between February 2027 and February 2029.

Was the LPL Financial (LPLA) insider sale by Aneri Jambusaria under a Rule 10b5-1 plan?

Yes. The sale was executed pursuant to a Rule 10b5-1 trading plan adopted by Aneri Jambusaria on November 3, 2025. Such pre-arranged plans allow insiders to systematically sell shares according to predetermined instructions.

What price did Aneri Jambusaria receive per LPL Financial (LPLA) share sold?

The reported transaction price was $306 per share for 308 shares of LPL Financial common stock. Form 4 disclosures specify both the number of shares traded and the per-share price to give investors clarity on insider trading activity.

What restricted stock units does Aneri Jambusaria hold in LPL Financial (LPLA)?

Her holdings include 380 restricted stock units vesting in full on February 25, 2027, 738 units vesting ratably on February 25, 2027 and 2028, and 1,302 units vesting ratably on February 25, 2027, 2028, and 2029, in addition to common shares.

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

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Accepted by SEC EDGAR 06/22/2026 - 04:07 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).

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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/17/2026

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	06/17/2026		S(1)		308	D	$306	6,415(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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount 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) 3,995 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-fact	06/22/2026
	** 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)