FilingPulse

LPLA insider transaction filings

LPL Financial Holdings Inc. — 50 most recent Form 4 filings from SEC EDGAR, normalized by FilingPulse. Latest filing: 2026-08-21. Screen LPLA transaction legs live →

FiledFormInsiderReported transactionsSource
2026-08-214Gates Greg — Group Managing DirectorOption exercise (M): 7,189 @ $77.53 · Sale (S): 4,119 @ $355.38 · Option exercise (M): 7,189 (derivative) @ $0EDGAR
2026-08-044Enyedi Matthew — Group Managing DirectorSale (S): 189 @ $351.06 · Sale (S): 463 @ $352.77 · Sale (S): 296 @ $353.37 · Sale (S): 51 @ $354.52 · Sale (S): 1 @ $355.51EDGAR
2026-08-044Putnam James S — DirectorGift (G): 2,000 @ $0EDGAR
2026-06-224Jambusaria Aneri — Group Managing DirectorSale (S): 308 @ $306EDGAR
2026-06-154Gates Greg — Group Managing DirectorTax withholding (F): 232 @ $295.66EDGAR
2026-06-154Cohen Marc Eliot — Group Managing DirectorTax withholding (F): 44 @ $295.66EDGAR
2026-06-084Thomas Corey E. — DirectorGrant/award (A): 7 @ $0EDGAR
2026-06-084Putnam James S — DirectorGrant/award (A): 10 @ $0EDGAR
2026-06-084Mnookin Allison — DirectorGrant/award (A): 3 @ $0EDGAR
2026-06-084Glavin William Francis Jr — DirectorGrant/award (A): 15 @ $0EDGAR
2026-06-084SCHIFTER RICHARD P — DirectorGrant/award (A): 19 @ $0EDGAR
2026-06-084BERNARD EDWARD C — DirectorGrant/award (A): 4 @ $0EDGAR
2026-06-084EBERHART PAULETT — DirectorGrant/award (A): 5 @ $0EDGAR
2026-05-194Thomas Corey E. — DirectorGrant/award (A): 712 @ $0 · Grant/award (A): 348 @ $0EDGAR
2026-05-194Putnam James S — DirectorGrant/award (A): 712 @ $0EDGAR
2026-05-194Mnookin Allison — DirectorGrant/award (A): 712 @ $0EDGAR
2026-05-194Ko Albert J — DirectorGrant/award (A): 712 @ $0EDGAR
2026-05-194Khanna Somesh — DirectorGrant/award (A): 712 @ $0EDGAR
2026-05-194Glavin William Francis Jr — DirectorGrant/award (A): 712 @ $0EDGAR
2026-05-194SCHIFTER RICHARD P — DirectorGrant/award (A): 712 @ $0 · Grant/award (A): 348 @ $0EDGAR
2026-05-194BERNARD EDWARD C — DirectorGrant/award (A): 712 @ $0 · Grant/award (A): 348 @ $0EDGAR
2026-05-194MULCAHY ANNE M — DirectorGrant/award (A): 712 @ $0 · Grant/award (A): 348 @ $0EDGAR
2026-05-194EBERHART PAULETT — DirectorGrant/award (A): 712 @ $0EDGAR
2026-05-084Putnam James S — DirectorGift (G): 100 @ $0EDGAR
2026-04-164Audette Matthew J — President and CFOSale (S): 330 @ $325 · Sale (S): 139 @ $326.16 · Sale (S): 220 @ $327.45 · Sale (S): 189 @ $328.34 · Sale (S): 595 @ $331.09 · Sale (S): 106 @ $332.27EDGAR
2026-03-264Thomas Corey E. — DirectorGrant/award (A): 7 @ $0EDGAR
2026-03-264Putnam James S — DirectorGrant/award (A): 10 @ $0EDGAR
2026-03-264Mnookin Allison — DirectorGrant/award (A): 3 @ $0EDGAR
2026-03-264Glavin William Francis Jr — DirectorGrant/award (A): 15 @ $0EDGAR
2026-03-264SCHIFTER RICHARD P — DirectorGrant/award (A): 19 @ $0EDGAR
2026-03-264BERNARD EDWARD C — DirectorGrant/award (A): 4 @ $0EDGAR
2026-03-264EBERHART PAULETT — DirectorGrant/award (A): 5 @ $0EDGAR
2026-03-114Cohen Marc Eliot — Group Managing DirectorOption exercise (M): 2,212 @ $77.53 · Sale (S): 2,212 @ $308.75 · Sale (S): 1,088.21 @ $309.72 · Option exercise (M): 2,212 (derivative) @ $0EDGAR
2026-03-044Jambusaria Aneri — Group Managing DirectorSale (S): 308 @ $306EDGAR
2026-02-274Steinmeier Richard — Chief Executive OfficerGrant/award (A): 2,255 @ $0 · Tax withholding (F): 2,619 @ $318.47 · Grant/award (A): 10,526 @ $0EDGAR
2026-02-274Reeping Katharine — Principal Accounting OfficerGrant/award (A): 81 @ $0 · Tax withholding (F): 212 @ $318.47 · Grant/award (A): 373 @ $0EDGAR
2026-02-274Morningstar Matthew — Group Managing DirectorGrant/award (A): 1,122 @ $0EDGAR
2026-02-274Jambusaria Aneri — Group Managing DirectorGrant/award (A): 942 @ $0 · Tax withholding (F): 715 @ $318.47 · Grant/award (A): 1,302 @ $0EDGAR
2026-02-274Gates Greg — Group Managing DirectorGrant/award (A): 1,856 @ $0 · Tax withholding (F): 1,293 @ $318.47 · Grant/award (A): 2,774 @ $0 · Grant/award (A): 2,807 @ $0EDGAR
2026-02-274Field Emily — Group Managing DirectorGrant/award (A): 1,122 @ $0EDGAR
2026-02-274Enyedi Matthew — Group Managing DirectorGrant/award (A): 1,799 @ $0 · Tax withholding (F): 1,333 @ $318.47 · Grant/award (A): 2,176 @ $0 · Sale (S): 463 @ $318.38 · Sale (S): 628 @ $319.38 · Sale (S): 666 @ $320.99 · +2 moreEDGAR
2026-02-274Cohen Marc Eliot — Group Managing DirectorGrant/award (A): 537 @ $0 · Tax withholding (F): 483 @ $318.47 · Grant/award (A): 1,403 @ $0EDGAR
2026-02-274Audette Matthew J — President and CFOGrant/award (A): 2,152 @ $0 · Tax withholding (F): 2,351 @ $318.47 · Grant/award (A): 6,624 @ $0 · Sale (S): 348 @ $318.51 · Sale (S): 274 @ $319.32 · Sale (S): 506 @ $321.04 · +1 moreEDGAR
2026-02-044Khanna Somesh — DirectorGrant/award (A): 139 @ $0EDGAR
2026-01-024SCHIFTER RICHARD P — DirectorGift (G): 1,145.26 @ $0EDGAR
2025-12-114Morningstar Matthew — Group Managing DirectorGrant/award (A): 1,715 @ $0EDGAR
2025-12-094Steinmeier Richard — Chief Executive OfficerSale (S): 332 @ $367.06 · Sale (S): 183 @ $368.63 · Sale (S): 1,040 @ $370.62 · Sale (S): 2,450 @ $371.23 · Sale (S): 779 @ $372.20 · Sale (S): 274 @ $373.20 · +1 moreEDGAR
2025-12-094Gates Greg — Group Managing DirectorSale (S): 46 @ $367.95 · Sale (S): 34 @ $368.70 · Sale (S): 136 @ $370.44 · Sale (S): 410 @ $371.20 · Sale (S): 85 @ $372.32 · Sale (S): 39 @ $373.09EDGAR
2025-12-034Putnam James S — DirectorGrant/award (A): 7 @ $0EDGAR
2025-12-034Thomas Corey E. — DirectorGrant/award (A): 4 @ $0EDGAR

Recent 8-K events — LPL Financial Holdings Inc.

FiledFormItems reportedSource
2026-07-308-K2.02 — Results of Operations and Financial Condition
9.01 — Financial Statements and Exhibits		EDGAR
2026-05-158-K5.03 — Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.07 — Submission of Matters to a Vote of Security Holders
9.01 — Financial Statements and Exhibits		EDGAR
2026-04-308-K2.02 — Results of Operations and Financial Condition
9.01 — Financial Statements and Exhibits		EDGAR
2026-01-298-K2.02 — Results of Operations and Financial Condition
9.01 — Financial Statements and Exhibits		EDGAR
2026-01-088-K5.02 — Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
7.01 — Regulation FD Disclosure
9.01 — Financial Statements and Exhibits		EDGAR
2025-10-308-K2.02 — Results of Operations and Financial Condition
9.01 — Financial Statements and Exhibits		EDGAR
2025-08-018-K7.01 — Regulation FD Disclosure
8.01 — Other Events
9.01 — Financial Statements and Exhibits		EDGAR
2025-07-318-K2.02 — Results of Operations and Financial Condition
9.01 — Financial Statements and Exhibits		EDGAR
2025-07-038-K5.02 — Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
9.01 — Financial Statements and Exhibits		EDGAR
2025-06-038-K5.02 — Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain OfficersEDGAR
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