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. Group Managing Director Marc Eliot Cohen reported equity award activity in Common Stock. On February 25, 2026, he acquired 537 shares upon vesting of performance stock units granted on February 25, 2023, which were earned at 81% of his target award based on relative total stockholder return.
He also acquired 1,403 restricted stock units, each representing one future share of Common Stock. These units vest in equal parts on February 25, 2027, February 25, 2028 and February 25, 2029, with shares issued shortly after each vesting date.
To satisfy tax obligations, 483 shares were disposed of at $318.47 per share through a tax-withholding transaction rather than an open-market sale. Following these transactions, his direct holdings consist of Common Stock and several tranches of restricted stock units, and 19 shares are held indirectly by his spouse.
LPL Financial Holdings Inc. President and CFO Matthew J. Audette reported a mix of stock awards and sales. On February 25, 2026, he acquired 2,152 shares of common stock upon vesting of performance stock units granted in 2023, which were earned at 81% of his target based on relative total stockholder return, and received an additional 6,624 restricted stock units that vest between 2027 and 2029. That same day, 2,351 shares were disposed of to cover tax obligations at a price of $318.47 per share. On February 26, 2026, he executed four open-market sales totaling 1,581 shares at prices between $318.51 and $322.15 per share under a Rule 10b5-1 trading plan. Following these transactions, he directly owned 21,382 shares of common stock, plus the reported restricted stock units.
LPL Financial Holdings Inc. director Somesh Khanna reported an equity grant under the company’s compensation plans. On February 2, 2026, he acquired 139 shares of common stock at a price of $0, bringing his directly held total to 139 shares.
The award consists of stock units granted under the 2021 Omnibus Equity Incentive Plan, with each unit representing one share of common stock. The units are scheduled to vest in full on May 13, 2026 and are subject to a deferral election under the Non-Employee Director Deferred Compensation Plan, reflecting the equity portion of his annual director retainer.
LPL Financial Holdings Inc. (LPLA) reported insider activity: Officer Greg Gates disclosed open‑market sales of 1,500 shares of common stock on November 5, 2025, effected under a Rule 10b5‑1 trading plan adopted on March 7, 2025.
The transactions were executed across multiple trades at weighted‑average prices, with tranche ranges from $372.39–$379.97 and one sale at $380.12. Following these sales, he beneficially owned 15,370 shares directly. This includes 10,641 shares of common stock and restricted stock units: 510 (vests February 25, 2026), 511 (vests June 12, 2026), 1,551 (vests February 25, 2026 and February 25, 2027), and 2,157 (vests February 25, 2026, February 25, 2027, and February 25, 2028).
Greg Gates, Group Managing Director and officer of LPL Financial Holdings Inc. (LPLA), reported multiple sales of common stock executed on 10/06/2025. The transactions were effected under a Rule 10b5-1 trading plan adopted on 03/07/2025. The Form 4 shows five sale entries totaling 750 shares sold in tranches of 141, 266, 109, 132, and 102 shares at weighted-average prices of $312.15, $313.20, $314.04, $315.09, and $320.27, respectively. Following these sales, beneficial ownership is reported as 16,870 shares, which include a mix of vested shares and restricted stock units scheduled to vest through 02/25/2028. The filing is signed on behalf of Mr. Gates by an attorney-in-fact on 10/08/2025.