Marc Eliot Cohen - 09 Mar 2026 Form 4 Insider Report for LPL Financial Holdings Inc. (LPLA)

Role
Group Managing Director
Signature
/s/ Robert S. Hatfield III, attorney-in-fact
Issuer symbol
LPLA
Transactions as of
09 Mar 2026
Net transactions value
-$1,019,996
Form type
4
Filing time
11 Mar 2026, 18:04:49 UTC
Previous filing
27 Feb 2026
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Cohen Marc Eliot Group Managing Director C/O LPL FINANCIAL HOLDINGS INC., 4707 EXECUTIVE DRIVE, SAN DIEGO /s/ Robert S. Hatfield III, attorney-in-fact 11 Mar 2026 0002050551

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LPLA Common Stock Options Exercise +2,212 +40% $77.53* 7,700 09 Mar 2026 Direct
transaction LPLA Common Stock Sale $682,955 -2,212 -29% $308.75 5,488 09 Mar 2026 Direct
transaction LPLA Common Stock Sale $337,041 -1,088 -20% $309.72 4,400 10 Mar 2026 Direct F1, F2
holding LPLA Common Stock 19 09 Mar 2026 Held by the Reporting Person's spouse

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction LPLA Stock Option (Right to Buy) Options Exercise -2,212 -100% $0.000000* 0 09 Mar 2026 Common Stock 2,212 $77.53 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $309.66 to $310.30, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.
F2 Consists of (i) 2,118 shares of Common Stock; (ii) 85 restricted stock units that vest in full on June 12, 2026; (iii) 278 restricted stock units that vest in full on February 25, 2027; (iv) 516 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; and (v) 1,403 restricted stock units that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029.
F3 This option became exercisable in three installments, beginning February 25, 2020, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2022.

Remarks:

The signatory is signing on behalf of Marc Cohen pursuant to a Power of Attorney dated December 11, 2024.