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  4. [Form 4] LPL Financial Holdings Inc. Insider Trading Activity

LPL Financial Holdings (LPLA) insider sells 1,000 shares via 10b5-1 plan

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

Rhea-AI Filing Summary

Matthew Enyedi, Group Managing Director of LPL Financial Holdings Inc., reported selling 1,000 shares of Common Stock in five non-derivative transactions on July 31, 2026. The sales were executed at weighted average prices per share described in accompanying price ranges and were effected under a pre-arranged Rule 10b5-1 trading plan adopted on November 24, 2025. After these sales, he continues to hold 9,242 shares of Common Stock plus several restricted stock unit awards with vesting dates through 2029.

Positive

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Negative

  • None.
Insider Enyedi Matthew
Role Group Managing Director
Sold 1,000 shs ($353K)
Type Security Shares Price Value
Sale Common Stock F1, F2 189 $351.06 $66K
Sale Common Stock F1, F3 463 $352.77 $163K
Sale Common Stock F1, F4 296 $353.37 $105K
Sale Common Stock F1, F5 51 $354.52 $18K
Sale Common Stock F1, F6 1 $355.51 $355.51
Holdings After Transaction: Common Stock — 13,121 shares (Direct)
Footnotes (6)
  1. F1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 24, 2025.
  2. F2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $350.81 to $351.45, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.
  3. F3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $352.05 to $353.04, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
  4. F4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $353.05 to $353.61, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.
  5. F5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $354.18 to $354.63, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4.
  6. F6. Consists of (i) 9,242 shares of Common Stock; (ii) 597 restricted stock units that vest in full on February 25, 2027; (iii) 1,106 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; and (iv) 2,176 restricted stock units that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029.
Total shares sold 1,000 shares Aggregate Common Stock sold by Matthew Enyedi on 2026-07-31
First sale tranche 189.0000 shares at $351.0600 per share Weighted average price; underlying trades ranged from $350.81 to $351.45
Second sale tranche 463.0000 shares at $352.7700 per share Weighted average price; underlying trades ranged from $352.05 to $353.04
Third sale tranche 296.0000 shares at $353.3700 per share Weighted average price; underlying trades ranged from $353.05 to $353.61
Fourth sale tranche 51.0000 shares at $354.5200 per share Weighted average price; underlying trades ranged from $354.18 to $354.63
Fifth sale tranche 1.0000 share at $355.5100 per share Single-share Common Stock sale reported on 2026-07-31
Post-transaction Common Stock 9,242 shares Common Stock held directly after the reported transactions, per footnote F6
RSUs vesting in 2027 597 restricted stock units Restricted stock units that vest in full on February 25, 2027
Rule 10b5-1 trading plan regulatory
"sales reported were 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.
weighted average price financial
"The price reported in Column 4 is a weighted average price."
Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.
restricted stock units financial
"Consists of (i) 9,242 shares of Common Stock; (ii) 597 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.

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FAQ

What did Matthew Enyedi report in his latest Form 4 for LPLA?
He reported selling 1,000 shares of LPL Financial Common Stock on July 31, 2026. The sales occurred in five non-derivative transactions at weighted average prices per share, under a pre-arranged Rule 10b5-1 trading plan adopted on November 24, 2025.

How many LPL Financial (LPLA) shares did Matthew Enyedi sell and at what prices?
He sold 1,000 shares across five tranches: 189 at $351.0600, 463 at $352.7700, 296 at $353.3700, 51 at $354.5200, and 1 at $355.5100 per share, each reported as a weighted average with stated intraday price ranges.

Were Matthew Enyedi’s LPLA share sales made under a Rule 10b5-1 trading plan?
Yes. A footnote states the sales were effected pursuant to a Rule 10b5-1 trading plan adopted by Matthew Enyedi on November 24, 2025. The filing also checks the Rule 10b5-1 box, indicating the transactions were executed under this pre-arranged trading plan.

What LPLA holdings does Matthew Enyedi retain after these reported sales?
Following the transactions, he holds 9,242 shares of Common Stock and several restricted stock unit awards: 597 RSUs vesting in full on February 25, 2027, 1,106 RSUs vesting over 2027–2028, and 2,176 RSUs vesting over 2027–2029, as disclosed in a detailed footnote.

What is the vesting schedule of Matthew Enyedi’s LPLA restricted stock units?
His awards include 597 RSUs vesting in full on February 25, 2027; 1,106 RSUs vesting ratably on February 25, 2027 and 2028; and 2,176 RSUs vesting ratably on February 25, 2027, 2028 and 2029, providing a multi-year equity incentive schedule.
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*
Enyedi Matthew
(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)
07/31/2026		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 Stock07/31/2026S(1)189D$351.06(2)13,932D
Common Stock07/31/2026S(1)463D$352.77(3)13,469D
Common Stock07/31/2026S(1)296D$353.37(4)13,173D
Common Stock07/31/2026S(1)51D$354.52(5)13,122D
Common Stock07/31/2026S(1)1D$355.5113,121(6)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 sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 24, 2025.
2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $350.81 to $351.45, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.
3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $352.05 to $353.04, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $353.05 to $353.61, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.
5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $354.18 to $354.63, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4.
6. Consists of (i) 9,242 shares of Common Stock; (ii) 597 restricted stock units that vest in full on February 25, 2027; (iii) 1,106 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; and (iv) 2,176 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 Matthew Enyedi pursuant to a Power of Attorney dated December 17, 2024.
/s/ Robert S. Hatfield III, attorney-in-fact08/04/2026
** 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