4//SEC Filing
Steinmeier Richard 4
Accession 0001628280-25-056211
CIK 0001397911other
Filed
Dec 8, 7:00 PM ET
Accepted
Dec 9, 7:15 PM ET
Size
18.0 KB
Accession
0001628280-25-056211
Insider Transaction Report
Form 4
Steinmeier Richard
Chief Executive Officer
Transactions
- Sale
Common Stock
2025-12-05$367.06/sh−332$121,864→ 14,052 total - Sale
Common Stock
2025-12-05$368.63/sh−183$67,459→ 13,869 total - Sale
Common Stock
2025-12-05$370.62/sh−1,040$385,445→ 12,829 total - Sale
Common Stock
2025-12-05$371.23/sh−2,450$909,514→ 10,379 total - Sale
Common Stock
2025-12-05$372.20/sh−779$289,944→ 9,600 total - Sale
Common Stock
2025-12-05$373.20/sh−274$102,257→ 9,326 total - Gift
Common Stock
2025-12-05−275→ 16,812.7 total(indirect: By Trust)
Footnotes (11)
- [F1]The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 4, 2025.
- [F10]Includes 18.1 shares acquired on August 29, 2025 and 14.5 shares acquired on December 1, 2025 under a dividend reinvestment plan.
- [F11]The reporting person and his spouse are co-trustees of the trust and its sole beneficiaries. The reporting person remains the beneficial owner of, and retains his pecuniary interest in, the securities held by the trust.
- [F2]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $366.99 to $367.39, 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 (2) to this Form 4.
- [F3]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $368.53 to $369.11, 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 (3) to this Form 4.
- [F4]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $369.85 to $370.84, 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 (4) to this Form 4.
- [F5]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $370.85 to $371.83, 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 (5) to this Form 4.
- [F6]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $371.87 to $372.80, 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 (6) to this Form 4.
- [F7]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $372.89 to $373.77, 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 (7) to this Form 4.
- [F8]Consists of (i) 619 restricted stock units that vest in full on February 25, 2026; (ii) 1,736 restricted stock units that vest ratably on each of February 25, 2026 and February 25, 2027; and (iii) 6,971 restricted stock units that vest ratably on each of February 25, 2026, February 25, 2027 and February 25, 2028.
- [F9]This transaction was a charitable gift of securities by the reporting person.
Documents
Issuer
LPL Financial Holdings Inc.
CIK 0001397911
Entity typeother
Related Parties
1- filerCIK 0001750576
Filing Metadata
- Form type
- 4
- Filed
- Dec 8, 7:00 PM ET
- Accepted
- Dec 9, 7:15 PM ET
- Size
- 18.0 KB