LPL Financial (LPLA) executive sells 308 shares in Rule 10b5-1 trade

Rhea-AI Filing Summary

LPL Financial Holdings Group Managing Director Aneri Jambusaria reported an open-market sale of 308 shares of common stock at $306 per share on March 2, 2026. The trade was executed under a pre-arranged Rule 10b5-1 trading plan adopted on November 3, 2025.

After this sale, Jambusaria holds 6,723 shares, including common stock and restricted stock units that vest between February 25, 2027 and February 25, 2029.

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 CA 92121

(City) (State) (Zip)

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

3. Date of Earliest Transaction (Month/Day/Year)
03/02/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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	03/02/2026		S(1)		308	D	$306	6,723(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) 4,303 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	03/04/2026
	** 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.

FAQ

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. The shares were sold in an open-market transaction at $306 per share on March 2, 2026, as disclosed in a Form 4 insider trading report.

Was the LPL Financial (LPLA) insider sale by Aneri Jambusaria pre-planned?

Yes. The sale was executed under a Rule 10b5-1 trading plan adopted by Aneri Jambusaria on November 3, 2025. Such plans allow insiders to schedule trades in advance, providing structure and reducing the influence of nonpublic information on trading decisions.

How many LPL Financial (LPLA) shares did Aneri Jambusaria sell and at what price?

Aneri Jambusaria sold 308 shares of LPL Financial common stock at a price of $306 per share. This open-market sale on March 2, 2026 represents a relatively small transaction compared with her remaining holdings and equity awards.

What is Aneri Jambusaria’s remaining LPL Financial (LPLA) share ownership after the sale?

After the reported sale, Aneri Jambusaria holds 6,723 shares. This consists of 4,303 shares of common stock and multiple restricted stock unit awards scheduled to vest fully or ratably between February 25, 2027 and February 25, 2029, according to the disclosure.

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 in 2027 and 2028, and 1,302 units vesting ratably in 2027, 2028, and 2029. These units represent future share deliveries subject to vesting terms.

What role does Aneri Jambusaria hold at LPL Financial (LPLA)?

Aneri Jambusaria serves as a Group Managing Director at LPL Financial Holdings Inc. This officer role is noted in the insider report and explains why her transactions in the company’s common stock must be publicly disclosed through Form 4 filings.