LPL director granted 5 fully vested stock units

LPL Financial Holdings Inc. director Paulett Eberhart reported an acquisition of 5 fully vested stock units, each representing one share of common stock, under the company’s 2021 Omnibus Equity Incentive Plan.

Rhea-AI Filing Summary

LPL Financial Holdings Inc. director Paulett Eberhart reported an acquisition of 5 fully vested stock units, each representing one share of common stock, under the company’s 2021 Omnibus Equity Incentive Plan. The units were credited to her Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend. Following this grant, her reported direct holdings total 17,043 shares.

Insider Trade Summary

Grant/Award: 5 shares

Grant/Award 1 txn

Insider EBERHART PAULETT

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	5	$0.00	$0.00

Holdings After Transaction: Common Stock — 17,043 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.

FAQ

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

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

Paulett Eberhart reported receiving 5 fully vested stock units of LPL Financial common stock. The units were granted under the company’s 2021 Omnibus Equity Incentive Plan and credited to her deferred compensation account in connection with a quarterly cash dividend.

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

After this transaction, Paulett Eberhart’s reported direct holdings total 17,043 shares of LPL Financial common stock. This figure reflects her position following the grant of 5 additional stock units recorded in the company’s Non-Employee Director Deferred Compensation Plan.

What plan governed the stock units granted to Paulett Eberhart at LPL Financial?

The 5 stock units were granted under LPL Financial’s 2021 Omnibus Equity Incentive Plan. They were credited to Eberhart’s account within the Non-Employee Director Deferred Compensation Plan, aligning her compensation with common stock and dividend activity while remaining fully vested as of the reported date.

Are the LPL Financial stock units reported by Paulett Eberhart vested?

Yes, the filing states that the stock units are fully vested as of the reporting date. Each unit represents the right to receive one share of LPL Financial common stock and was credited in connection with a quarterly cash dividend paid on outstanding common shares.

Why were additional LPL Financial stock units credited to Paulett Eberhart’s account?

The stock units were credited to Paulett Eberhart’s deferred compensation account in connection with a quarterly cash dividend on LPL Financial common stock. This reflects dividend-equivalent stock units, aligning her deferred director compensation with shareholder dividend payments while remaining fully vested.

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Accepted by SEC EDGAR 03/26/2026 - 04:10 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).

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)
03/24/2026

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	03/24/2026		A		5(1)	A	$0	17,043	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 Paulett Eberhart pursuant to a Power of Attorney dated November 25, 2024.

	/s/ Robert S. Hatfield III, attorney-in-fact	03/26/2026
	** 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)