LPL Financial (LPLA) director Paulett Eberhart granted 712 deferred stock units

Rhea-AI Filing Summary

EBERHART PAULETT reported acquisition or exercise transactions in this Form 4 filing.

LPL Financial Holdings Inc. director Paulett Eberhart received an equity grant of 712 shares of common stock in the form of stock units. The award was granted at no cash price under the company’s 2021 Omnibus Equity Incentive Plan and is scheduled to vest in full on May 20, 2027. These stock units are subject to a deferral election under the Non-Employee Director Deferred Compensation Plan, reflecting her choice to defer the equity portion of her annual director retainer. Following this grant, she holds a total of 17,755 shares of common stock directly.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider EBERHART PAULETT

Role null

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	712	$0.00	--

Holdings After Transaction: Common Stock — 17,755 shares (Direct, null)

Footnotes (1)

1. [object Object]

Key Figures

Stock units granted: 712 units Vesting date: May 20, 2027 Shares held after transaction: 17,755 shares +1 more

4 metrics

Stock units granted 712 units Common stock units granted to director on May 15, 2026

Vesting date May 20, 2027 Scheduled full vesting of granted stock units

Shares held after transaction 17,755 shares Total LPL Financial common stock directly owned post-grant

Grant price $0.0000 per share Non-cash equity award to director

Key Terms

stock units, 2021 Omnibus Equity Incentive Plan, Non-Employee Director Deferred Compensation Plan, Non-Employee Director Compensation Policy

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

"These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan."

Non-Employee Director Compensation Policy financial

"the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy."

Form 4 Insider Transactions: What Each Field Means →

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^*

EBERHART PAULETT

(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)
05/15/2026

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	05/15/2026		A		712(1)	A	$0	17,755	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 scheduled to vest in full on May 20, 2027. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy.

Remarks:

The signatory is signing on behalf of Paulett Eberhart pursuant to a Power of Attorney dated November 25, 2024.

	/s/ Robert S. Hatfield III, attorney-in-fact	05/19/2026
	** 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)

FAQ

What insider transaction did LPL Financial (LPLA) director Paulett Eberhart report?

Paulett Eberhart reported receiving a grant of 712 stock units of LPL Financial common stock. The award is a non-cash equity grant under the 2021 Omnibus Equity Incentive Plan and increases her directly held position to 17,755 shares after the transaction.

When do Paulett Eberhart’s newly granted LPLA stock units vest?

The 712 stock units granted to Paulett Eberhart are scheduled to vest in full on May 20, 2027. Vesting means she will then receive one share of LPL Financial common stock for each unit, subject to the plan and deferral arrangements in place.

Under which plan were the 712 LPL Financial stock units granted to Paulett Eberhart?

The 712 stock units were granted under LPL Financial’s 2021 Omnibus Equity Incentive Plan. This plan provides equity compensation, and each unit represents the right to receive one share of common stock upon vesting, consistent with the plan’s terms and conditions.

How are Paulett Eberhart’s LPLA stock units treated under the deferred compensation arrangements?

These stock units are subject to a written deferral election under LPL Financial’s Non-Employee Director Deferred Compensation Plan. Eberhart elected to defer receipt of the equity portion of her annual retainer, so the units reflect deferred director compensation rather than immediate share delivery.

How many LPL Financial shares does Paulett Eberhart hold after this Form 4 transaction?

After this grant, Paulett Eberhart holds 17,755 shares of LPL Financial common stock directly. This total includes the impact of the 712 stock units reported in the Form 4 and represents her updated direct ownership position as disclosed.