Every Form 4 that LPL Financial Holdings Inc. (LPLA) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow LPLA and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full LPLA filings page.
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.
LPL Financial Holdings Inc. (LPLA) reported that director Corey E. Thomas acquired 4 stock units of common stock on August 28, 2026. The units were credited at $0.00 per unit under LPL’s 2021 Omnibus Equity Incentive Plan as a fully vested award tied to a quarterly cash dividend and deferred into the Non-Employee Director Deferred Compensation Plan. Following this grant, Thomas directly holds 14,912 shares/units of LPL common stock.
LPL Financial Holdings Inc. (LPLA) director Richard P. Schifter reported an acquisition of common stock on August 28, 2026. He received 14 stock units, each representing one fully vested share of common stock, granted under the 2021 Omnibus Equity Incentive Plan and credited to his Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend.
Following this grant, Schifter directly holds 39,191.5716 shares of LPLA common stock. He is also co-trustee of 11 separate grandchildren's trusts, each holding 440 shares of LPLA common stock; he remains the beneficial owner of the securities held by these trusts.
LPL Financial Holdings Inc. (LPLA) reported that director James S. Putnam acquired 7 stock units of common stock-equivalent on 2026-08-28 as a grant/award. These fully vested units were credited to his Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend and bring his direct holdings to 135,297.5 shares/units of common stock.
LPL Financial Holdings Inc. (LPLA) director Allison Mnookin reported an acquisition of 2 stock units of common stock on August 28, 2026. The units were granted under LPL’s 2021 Omnibus Equity Incentive Plan and credited to her Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend, and are fully vested. Following this award, she directly holds a total of 11,763 shares/stock units of common stock.
LPL Financial Holdings Inc. (symbol: LPLA) is the issuer of record for a Form 4 filing submitted to the SEC.
LPL Financial Holdings Inc. (symbol: LPLA) is the issuer of record for a Form 4 filing submitted to the SEC.
LPL Financial Holdings Inc. (LPLA) reported that director Edward C. Bernard received an automatic grant of 3 stock units of common stock on August 28, 2026. These stock units were credited under LPL’s Non-Employee Director Deferred Compensation Plan as dividend equivalents on previously deferred, fully vested stock units.
Each stock unit represents the right to receive one share of LPL common stock and is fully vested, with a reported acquisition price of $0.00 per share. Following this award, Bernard’s directly held stock units and shares total 16,262.
LPL Financial Holdings Inc. (LPLA) officer Aneri Jambusaria, Group Managing Director, reported selling 308 shares of Common Stock on August 27, 2026 at $357.36 per share in an open-market transaction. The sale was effected pursuant to a Rule 10b5-1 trading plan adopted on November 3, 2025. Following this sale, Jambusaria reports beneficial ownership of 6,107 shares, consisting of 3,687 shares of Common Stock and restricted stock units totaling 380, 738, and 1,302 units that vest between February 25, 2027 and February 25, 2029.
LPL Financial Holdings Inc. (LPLA) reported that officer Greg Gates, Group Managing Director, exercised an option for 7,189 shares of Common Stock at an exercise price of $77.53 per share and received the same number of shares on August 20, 2026. On the same date, he sold 4,119 shares of Common Stock at a weighted average price of $355.38 per share, with sale prices ranging from $355.25 to $355.47. Following these transactions, his holdings consist of 15,807 shares of Common Stock and multiple blocks of restricted stock units scheduled to vest between February 25, 2027 and August 31, 2029.
James S. Putnam, a director of LPL Financial Holdings Inc., reported a bona fide charitable gift of 2,000 shares of common stock on August 3, 2026. The transfer was recorded at $0.00 per share as a disposition. Following the gift, he directly holds 135,290.5 common shares.
Matthew Enyedi, Group Managing Director of LPL Financial Holdings Inc., reported selling 1,000 shares of Common Stock in five non-derivative transactions on July 31, 2026. The sales were executed at weighted average prices per share described in accompanying price ranges and were effected under a pre-arranged Rule 10b5-1 trading plan adopted on November 24, 2025. After these sales, he continues to hold 9,242 shares of Common Stock plus several restricted stock unit awards with vesting dates through 2029.
LPL Financial Holdings executive Aneri Jambusaria sold 308 shares of common stock in an open-market transaction at $306 per share. After the sale, she holds 6,415 shares, including time-vested restricted stock units scheduled to vest between February 2027 and February 2029. The trade was executed under a pre-arranged Rule 10b5-1 trading plan adopted on November 3, 2025.
LPL Financial Holdings Inc. executive Greg Gates reported a routine tax-related share disposition. On this Form 4, 232 shares of Common Stock were withheld at $295.66 per share to satisfy tax obligations by delivering securities, not through an open-market sale.
Following this transaction, Gates directly holds 20,532 shares in total, consisting of 12,737 shares of Common Stock and several grants of restricted stock units that vest between February 25, 2027 and August 31, 2029. The filing reflects ongoing equity compensation rather than discretionary trading activity.
LPL Financial Holdings Inc. Group Managing Director Marc Eliot Cohen reported a routine tax-related share disposition. On June 12, 2026, 44 shares of common stock were withheld at $295.66 per share to cover tax obligations, a non-market transaction coded "F." After this, he directly holds 4,356 common shares, consisting of 2,159 shares plus 2,197 restricted stock units scheduled to vest between February 25, 2027 and February 25, 2029. He also has 19 shares held indirectly by his spouse, indicating the overall position remains largely intact.
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.
LPL Financial Holdings Inc. director Richard P. Schifter reported a small compensation-related equity change. He acquired 19 fully vested stock units of common stock under the 2021 Omnibus Equity Incentive Plan, credited to his Non-Employee Director Deferred Compensation Plan account as dividend equivalents, bringing his direct holdings to 39,177.5716 shares. He also reports indirect beneficial ownership as co-trustee of 11 separate grandchildren's trusts, each holding 440 common shares.
LPL Financial Holdings Inc. director James S. Putnam reported an acquisition of 10 common stock units on a grant or award basis. These stock units were credited under the company’s 2021 Omnibus Equity Incentive Plan and are fully vested.
The stock units, each representing one share of common stock, were added to Putnam’s Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend paid on common shares. Following this award, he holds 137,290.5 shares of common stock directly.
LPL Financial Holdings Inc. director Allison Mnookin received an award of 3 fully vested stock units of common stock on a grant coded as a compensation-related acquisition. These units were credited to her deferred compensation plan account as dividend equivalents, bringing her direct holdings to 11,761 shares.
Glavin William Francis Jr reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director William Francis Glavin Jr reported a routine equity compensation change. He received 15 fully vested stock units of common stock, granted at $0.00 per unit under the company’s 2021 Omnibus Equity Incentive Plan and credited to his Non-Employee Director Deferred Compensation Plan account in connection with a quarterly cash dividend.
Each stock unit represents the right to receive one share of common stock. Following this award, Glavin holds 24,064 shares of common stock directly and 2,775 shares indirectly through his spouse’s trust. The filing shows no open-market purchases or sales, only an award and updated holdings.
EBERHART PAULETT reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director Paulett Eberhart received an award of 5 fully vested stock units of common stock on June 4, 2026. The units were granted under the 2021 Omnibus Equity Incentive Plan and credited to her deferred compensation plan account as dividend equivalents, bringing her direct holdings to 17,760 shares.
BERNARD EDWARD C reported acquisition or exercise transactions in this Form 4 filing.
Director Edward C. Bernard received 4 stock units of LPL Financial Holdings Inc. common stock on June 4, 2026. These units were granted at no cash cost under the company’s 2021 Omnibus Equity Incentive Plan and credited to his deferred compensation account as a dividend equivalent. After this award, he holds 16,259 shares/units directly. This is a routine, fully vested equity compensation grant rather than an open-market purchase.
LPL Financial Holdings Inc. director Thomas Corey E. reported equity awards of common stock units granted on May 15, 2026. The filing shows two acquisitions of stock units, for 348 and 712 units, at no cash cost, each unit representing the right to receive one share of common stock.
The awards were granted under LPL’s 2021 Omnibus Equity Incentive Plan and are linked to the non-employee director annual retainer. One grant is scheduled to vest in full on May 20, 2027, while the other is fully vested. Both grants are subject to deferral elections under the Non-Employee Director Deferred Compensation Plan, meaning receipt of the related shares or cash is deferred according to the director’s elections.
SCHIFTER RICHARD P reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director Richard P. Schifter reported new equity-based compensation and updated indirect holdings in company common stock. He received two awards totaling 1,060 stock units granted under the 2021 Omnibus Equity Incentive Plan, with each unit representing one share of common stock and granted at no cash cost.
According to the footnotes, one grant of stock units is scheduled to vest in full on May 20, 2027, while another grant is already fully vested. Both awards are subject to a deferral election under the Non-Employee Director Deferred Compensation Plan tied to the annual director retainer.
The filing also lists indirect holdings where Schifter serves as co-trustee for 11 separate grandchildren’s trusts, each showing 440 shares of common stock following the reported entries. The footnotes state that Schifter remains the beneficial owner of the securities held in these trusts.
Putnam James S reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director James S. Putnam received an equity grant of 712 shares of common stock in the form of stock units at a price of $0.00 per share. These stock units were granted under the company’s 2021 Omnibus Equity Incentive Plan and are scheduled to vest in full on May 20, 2027. The units are subject to a deferral election under LPL’s Non-Employee Director Deferred Compensation Plan, reflecting Mr. Putnam’s choice to defer the equity portion of his annual director retainer. Following this grant, he directly holds 137,280.5 shares of common stock.
LPL Financial Holdings Inc. director Anne M. Mulcahy reported receiving grants of common stock as part of her board compensation. She acquired 348 shares of restricted stock granted under the company’s 2021 Omnibus Equity Incentive Plan and 712 additional shares elected in lieu of the cash portion of her annual retainer.
All reported shares are restricted stock awarded under the Non-Employee Director Compensation Policy and carry no purchase price. The 348-share restricted stock grant is scheduled to vest in full on May 20, 2027. After these awards, she directly holds a little over 37,000 shares of LPL Financial common stock.
Mnookin Allison reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director Allison Mnookin received an award of 712 shares of common stock on a deferred basis as part of her board compensation. The award consists of stock units granted under the company’s 2021 Omnibus Equity Incentive Plan and is scheduled to vest in full on May 20, 2027. Following this grant, she directly holds 11,758 shares of common stock. The stock units reflect a deferral of the equity portion of her annual non-employee director retainer under the company’s deferred compensation program.
LPL Financial Holdings Inc. director Albert J. Ko received a grant of 712 shares of restricted common stock under the company’s 2021 Omnibus Equity Incentive Plan, issued at no cash cost to him. This restricted stock is scheduled to vest in full on May 20, 2027.
After this award and including 21 previously acquired shares, Ko now directly holds 3,299 shares of LPL Financial common stock.
LPL Financial Holdings Inc. director Somesh Khanna reported an acquisition of 712 shares of common stock in the form of stock units granted under the company’s 2021 Omnibus Equity Incentive Plan. The grant was made at no cash cost and brings his direct holdings to 851 shares.
Each stock unit represents one share of common stock and is scheduled to vest in full on May 20, 2027. According to the footnote, Khanna elected under the Non-Employee Director Deferred Compensation Plan to defer receipt of the equity portion of his annual retainer, making this a routine, compensation-related award rather than an open-market purchase.
Glavin William Francis Jr reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director William Francis Glavin Jr reported an equity compensation grant of common stock. He received 712 shares of restricted stock under the company’s 2021 Omnibus Equity Incentive Plan pursuant to its Non-Employee Director Compensation Policy. This restricted stock is scheduled to vest in full on May 20, 2027. After this award, Glavin directly holds 24,049 shares of common stock and indirectly holds 2,775 shares through his spouse’s trust.
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.
BERNARD EDWARD C reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director Edward C. Bernard reported receiving equity awards in the form of stock units on common stock. On May 15, 2026 he was granted 1,060 stock units under the 2021 Omnibus Equity Incentive Plan, with some units vesting on May 20, 2027 and others already fully vested, all subject to deferral elections under the company’s Non-Employee Director Deferred Compensation Plan.
LPL Financial Holdings Inc. director James S. Putnam reported a charitable gift of company shares. On May 7, 2026, he transferred 100 shares of Common Stock as a bona fide charitable gift, receiving no sale proceeds.
After this gift, Putnam directly owns 136,568.5 shares of LPL Financial Holdings common stock, indicating the transaction was very small relative to his remaining position.
LPL Financial Holdings Inc. President and CFO Matthew J. Audette reported open-market sales of 1,579 shares of common stock over two days. The trades on April 14–15, 2026 occurred at prices between $325.00 and $332.43 per share and were executed under a pre-arranged Rule 10b5-1 trading plan adopted on August 14, 2025.
After these transactions, Audette directly holds 19,803 shares of common stock. His equity position also includes 787 restricted stock units vesting on February 25, 2027, 3,965 restricted stock units vesting ratably in 2027 and 2028, and 6,624 restricted stock units vesting ratably in 2027, 2028 and 2029.
LPL Financial Holdings Inc. director Thomas Corey E. reported an acquisition of 7 fully vested stock units of common stock as a compensation-related grant. The units were credited under the company’s Non-Employee Director Deferred Compensation Plan in connection with a quarterly cash dividend, bringing his direct holdings to 13,841 shares.
SCHIFTER RICHARD P reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director Richard P. Schifter reported receiving an award of 19 fully vested stock units of common stock on March 24, 2026. The units were granted under LPL’s 2021 Omnibus Equity Incentive Plan and were credited to his deferred compensation plan account in connection with a quarterly cash dividend on the stock.
Each stock unit represents the right to receive one share of common stock, and Schifter’s direct holdings after the grant total 38,098.5716 shares. He also reports indirect beneficial ownership as co-trustee of 11 separate grandchildren’s trusts, with each trust holding 440 shares of common stock.
LPL Financial Holdings Inc. director James S. Putnam received 10 stock units of common stock as a fully vested equity award. The units were granted under the 2021 Omnibus Equity Incentive Plan and credited to his deferred compensation plan account in connection with a quarterly cash dividend. Following this grant, he holds 136,668.5 shares or stock units directly, indicating a routine, compensation-related acquisition rather than an open-market purchase.
Mnookin Allison reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director Allison Mnookin received an award of 3 shares of common stock on March 24, 2026. These stock units were granted under the company’s 2021 Omnibus Equity Incentive Plan, are fully vested, and were credited in connection with a quarterly cash dividend. Following the award, Mnookin directly holds 11,046 shares of common stock.
Glavin William Francis Jr reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director William Francis Glavin Jr. received an award of 15 stock units of common stock on March 24, 2026. The units, granted at $0.00 under the 2021 Omnibus Equity Incentive Plan, are fully vested and credited to his deferred compensation plan account.
Each stock unit represents the right to receive one share of common stock. After this award, he holds 23,337 shares directly and 2,775 shares indirectly through a spouse's trust, indicating this was a small, routine compensation-related equity grant rather than an open-market trade.
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.
BERNARD EDWARD C reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. director Edward C. Bernard reported receiving a grant of 4 fully vested stock units of common stock as compensation. The units were issued under the 2021 Omnibus Equity Incentive Plan and credited to his deferred compensation plan account, bringing his directly held units/shares to 15,195.
LPL Financial Holdings Group Managing Director Marc Eliot Cohen reported an exercise-and-sell transaction in company stock. On March 9, 2026, he exercised options for 2,212 shares of common stock at an exercise price of $77.53 per share, then sold those 2,212 shares in open-market trades at $308.75 per share.
He also sold an additional 1,088.2114 shares of common stock on March 10, 2026 at a weighted average price of $309.72, with individual trades ranging from $309.66 to $310.30. Following these transactions, Cohen holds 4,400 shares of LPL Financial common stock directly and reports a further 19 shares held indirectly by his spouse, along with multiple tranches of restricted stock units that vest between 2026 and 2029.
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.
LPL Financial Holdings Inc. chief executive officer Richard Steinmeier reported equity compensation changes in Common Stock. On February 25, 2026, he acquired 2,255 shares at no cost from vesting performance stock units earned at 81% of his target award, and received a new grant of 10,526 restricted stock units, each representing one future share as they vest in 2027, 2028 and 2029.
On the same date, 2,619 shares were disposed of at $318.47 per share to cover tax obligations, a tax-withholding transaction rather than an open-market sale. After these transactions, he directly owned 8,962 shares and indirectly held 16,812.7 shares through a family trust where he and his spouse are co-trustees and sole beneficiaries.
LPL Financial Holdings Inc. principal accounting officer Katharine Reeping reported several equity compensation moves in Common Stock. She acquired 81 shares on February 25, 2026 from performance stock units granted on February 25, 2023, which vested at 81% of her target award based on relative total stockholder return.
On the same date, she disposed of 212 shares at $318.47 per share through a tax-withholding transaction to cover obligations tied to these awards. She also received 373 restricted stock units, each representing one future share, scheduled to vest ratably on February 25, 2027, February 25, 2028 and February 25, 2029.
After these transactions, her direct holdings consist of Common Stock plus multiple restricted stock unit grants, including 547 units vesting in full on February 25, 2027 and 380 units vesting over 2027 and 2028, along with the newly granted units.
Morningstar Matthew reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. Group Managing Director Matthew Morningstar reported an equity award of 1,122 shares of Common Stock in the form of restricted stock units. The grant carried a price of $0.00 per share, indicating a compensation award rather than an open-market purchase.
The restricted stock units vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029, with vested shares to be issued to him after each vesting date. Following this grant, he holds a total of 3,415 shares and restricted stock units, including previously granted awards.
LPL Financial Holdings Inc. Group Managing Director Aneri Jambusaria reported equity compensation changes involving Common Stock. On February 25, 2026, she acquired 942 shares at $0.0000 per share and 1,302 shares at $0.0000 per share through stock awards. Footnotes explain that 942 shares were earned from performance stock units granted on February 25, 2023, which vested at 81% of the target award based on a three-year total stockholder return period ending February 14, 2026. The 1,302-share award represents restricted stock units that will vest ratably on February 25 of 2027, 2028 and 2029. She also disposed of 715 shares at $318.4700 per share in a tax-withholding transaction to cover exercise price or tax obligations, rather than an open-market sale.
LPL Financial Holdings executive Greg Gates reported several equity award transactions in Common Stock. On February 25, 2026, he acquired 1,856 shares upon vesting of performance stock units granted on February 25, 2023, which earned out at 81% of his target based on relative total stockholder return over a three-year period ending February 14, 2026.
He also received new restricted stock unit awards representing 2,774 shares that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029, and 2,807 shares where one-half vests on February 25, 2028 and the other half on August 31, 2029. In connection with vesting, 1,293 shares were disposed of at $318.47 per share to satisfy tax withholding obligations. After these transactions, his direct holdings consist of Common Stock and multiple tranches of restricted stock units with specified future vesting dates.
LPL Financial Holdings Inc. reported that Group Managing Director Emily Field acquired an equity award of 1,122 restricted stock units of Common Stock on February 25, 2026. These units vest in equal installments on February 25, 2027, 2028 and 2029, with shares delivered after each vesting date. Following this grant, she directly holds a total of 1,939 restricted stock units, including 817 units that vest in three annual tranches on September 5, 2026, 2027 and 2028.
LPL Financial Holdings executive Matthew Enyedi reported multiple stock transactions. On February 26, 2026, he executed open-market sales totaling 2,109 shares of LPL common stock at prices around $318–$323 per share under a pre-established Rule 10b5-1 trading plan.
On February 25, 2026, he received 1,799 shares upon vesting of performance stock units earned at 81% of target based on relative total stockholder return, plus a separate grant of 2,176 restricted stock units. He also disposed of 1,333 shares to cover taxes by delivering shares. Following these transactions, his holdings include 10,242 shares of common stock and several tranches of time-based restricted stock units.