LPL Financial exec uses 106 shares for option tax

LPL Financial’s Group Managing Director reported a small share withholding for tax or exercise costs, retaining 1,833 equity-based units after the transaction.

Rhea-AI Filing Summary

LPL Financial Holdings Inc. (LPLA) reported that Group Managing Director Emily Field had 106 shares of common stock delivered or withheld on September 5, 2026 to cover an option exercise price or related tax liability. After this transaction, she holds equity-based interests totaling 1,833 units, consisting of 166 shares of common stock and 1,667 restricted stock units with vesting schedules extending through February 25, 2029. No trades were reported as being made under a Rule 10b5-1 trading plan.

Insider Trade Summary

Exercise Price or Tax Liability: 106 shares

Exercise Price or Tax Liability 1 txn

Insider Field Emily

Role Group Managing Director

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock F1	106	$359.33	$38K

Holdings After Transaction: Common Stock — 1,833 shares (Direct)

Footnotes (1)

1. F1. Consists of (i) 166 shares of Common Stock; (ii) 545 restricted stock units that vest ratably on each of September 5, 2027 and September 5, 2028; and (iii) 1,122 restricted stock units that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029.

Key Figures

Shares delivered or withheld: 106 shares Reported value per share: $359.33 per share Total equity-based units after transaction: 1,833 units +3 more

6 metrics

Shares delivered or withheld 106 shares Shares of common stock used to pay option exercise price or tax liability on September 5, 2026

Reported value per share $359.33 per share Value assigned to the 106 shares delivered or withheld on September 5, 2026

Total equity-based units after transaction 1,833 units Post-transaction holdings combining common stock and restricted stock units

Common stock held after transaction 166 shares Portion of the 1,833 post-transaction equity-based units held as common stock

Restricted stock units vesting September 5, 2027 and 2028 545 units Restricted stock units that vest ratably on each of September 5, 2027 and September 5, 2028

Restricted stock units vesting February 25, 2027-2029 1,122 units Restricted stock units that vest ratably on each of February 25, 2027, 2028 and 2029

Key Terms

restricted stock units, vest ratably, Power of Attorney

3 terms

restricted stock units financial

"545 restricted stock units that vest ratably on each of September 5, 2027"

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.

vest ratably financial

"restricted stock units that vest ratably on each of September 5, 2027"

Power of Attorney regulatory

"The signatory is signing on behalf of Emily Field pursuant to a Power of Attorney"

A power of attorney is a legal document that allows one person to make decisions and act on behalf of another person, often in financial or legal matters. It’s like giving someone a trusted helper or agent the authority to handle important tasks if you are unable to do so yourself. This matters to investors because it can impact how their assets are managed or transferred if they become unable to oversee their affairs.

FAQ

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

What insider transaction did LPLA report for Emily Field on September 5, 2026?

The filing reports that 106 shares of LPLA common stock were delivered or withheld on September 5, 2026 to pay an option exercise price or related tax liability, leaving Emily Field with 1,833 equity-based units afterward.

Did the LPLA insider transaction involve an open-market sale or purchase?

No. The filing describes 106 shares of LPLA common stock being delivered or withheld to pay an option exercise price or tax liability, not an open-market sale or purchase, at a reported value of $359.33 per share.

How many LPLA equity-based units does Emily Field hold after this Form 4 transaction?

After the reported transaction, Emily Field holds 1,833 equity-based units, consisting of 166 shares of common stock and 1,667 restricted stock units that vest on specified dates through February 25, 2029.

What restricted stock units are reported for Emily Field in the LPLA filing?

The filing lists 545 restricted stock units that vest ratably on each of September 5, 2027 and September 5, 2028, and 1,122 restricted stock units that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029.

Was the LPLA insider transaction reported as made under a Rule 10b5-1 trading plan?

No. The filing indicates that the transaction was not reported as being made under a Rule 10b5-1 trading plan.

What price per share is associated with the 106 LPLA shares delivered or withheld?

The 106 shares of LPLA common stock delivered or withheld for the option exercise price or tax liability are reported at $359.33 per share.

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

Form 4 Insider Transactions: What Each Field Means →

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Available on EDGAR 09/08/2026 - 04:10 PM EDT Accepted by SEC EDGAR 09/08/2026 - 04:09 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^*

Field Emily

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Group Managing Director

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/05/2026

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	09/05/2026		F		106	D	$359.33	1,833(1)	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. Consists of (i) 166 shares of Common Stock; (ii) 545 restricted stock units that vest ratably on each of September 5, 2027 and September 5, 2028; and (iii) 1,122 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 Emily Field pursuant to a Power of Attorney dated July 21, 2025.

	/s/ Robert S. Hatfield III, attorney-in-fact	09/08/2026
	** 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)