Welcome to our dedicated page for LPL Financial Holdings SEC filings (Ticker: LPLA), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Our SEC filing database is enhanced with expert analysis from Rhea-AI, providing insights into the potential impact of each filing on LPL Financial Holdings's stock performance. Each filing includes a concise AI-generated summary, sentiment and impact scores, and end-of-day stock performance data showing the actual market reaction. Navigate easily through different filing types including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, proxy statements (DEF 14A), and Form 4 insider trading disclosures.
Designed for fundamental investors and regulatory compliance professionals, our page simplifies access to critical SEC filings. By combining real-time EDGAR feed updates, Rhea-AI's analytical insights, and historical stock performance data, we provide comprehensive visibility into LPL Financial Holdings's regulatory disclosures and financial reporting.
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.