LPL director granted 7 stock units in Form 4

LPL Financial Holdings Inc. director Thomas E. Corey reported an acquisition of 7 stock units of common stock on June 4, 2026.

Rhea-AI Filing Summary

LPL Financial Holdings Inc. director Thomas E. Corey reported an acquisition of 7 stock units of common stock on June 4, 2026. The units were granted at a price of $0.00 per share as a compensation-related award, not an open-market purchase.

According to the disclosure, these stock units were granted under the company’s 2021 Omnibus Equity Incentive Plan, are fully vested, and each unit represents the right to receive one share of common stock. The units were credited to Corey’s account under the Non-Employee Director Deferred Compensation Plan in connection with a quarterly cash dividend on common shares. After this grant, Corey holds a total of 14,908 shares of common stock directly.

Insider Trade Summary

Grant/Award: 7 shares

Grant/Award 1 txn

Insider Thomas Corey E.

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	7	$0.00	$0.00

Holdings After Transaction: Common Stock — 14,908 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 granted: 7 stock units Grant price per share: $0.00 per share Shares held after transaction: 14,908 shares

3 metrics

Stock units granted 7 stock units Grant under 2021 Omnibus Equity Incentive Plan on June 4, 2026

Grant price per share $0.00 per share Compensation-related stock unit award, not open-market purchase

Shares held after transaction 14,908 shares Total direct common stock holdings after the grant

Key Terms

stock units, 2021 Omnibus Equity Incentive Plan, Non-Employee Director Deferred Compensation Plan, quarterly cash dividend

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"

quarterly cash dividend financial

"credited to the reporting person's DDCP account in connection with a quarterly cash dividend"

A quarterly cash dividend is a payment made by a company to its shareholders four times a year, usually based on its profits. It is like a regular bonus or reward for owning the company's stock, providing shareholders with income. Many investors see these payments as a sign of the company's stability and its ability to generate consistent profits.

FAQ

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

What insider transaction did LPLA director Thomas E. Corey report?

Thomas E. Corey reported receiving 7 fully vested stock units of LPL Financial common stock. These were granted as a compensation-related award and credited to his deferred compensation plan account connected to a quarterly cash dividend.

Was the LPLA Form 4 transaction an open-market buy or a grant?

The transaction was a grant of stock units, not an open-market purchase. Corey received 7 stock units at a price of $0.00 per share as part of LPL Financial’s equity incentive and deferred compensation programs.

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

Following the reported grant, Thomas E. Corey holds 14,908 shares of LPL Financial common stock directly. This total includes the impact of the 7 newly credited stock units tied to the company’s dividend and compensation plans.

What plan governed the stock units granted to the LPLA director?

The stock units were granted under LPL Financial’s 2021 Omnibus Equity Incentive Plan. They were credited to Corey’s account in the Non-Employee Director Deferred Compensation Plan and are fully vested, each representing one share of common stock.

Why were additional LPLA stock units credited in connection with a dividend?

The additional 7 stock units were credited in connection with a quarterly cash dividend on LPL Financial common shares. Under the deferred compensation plan, dividend equivalents can be paid as stock units, increasing the director’s equity-based holdings.

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

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Accepted by SEC EDGAR 06/08/2026 - 04:15 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)
06/04/2026

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	06/04/2026		A		7(1)	A	$0	14,908	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	06/08/2026
	** 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)