LPLA insider transaction filings
LPL Financial Holdings Inc. — 50 most recent Form 4 filings from SEC EDGAR, normalized by FilingPulse. Latest filing: 2026-09-14. Screen LPLA transaction legs live →
Insider transaction summary — last 90 days
2026-06-24 to 2026-09-22, from the filings listed below: 13 Form 4 filings. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): none reported.
- Open-market sales (code S, non-derivative): 8 legs across 4 filings by 4 insiders — 5,867 shares, $2,079,643 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 11.
- Largest priced transaction: sale of 4,119 shares @ $355.38 ($1,463,810) by Gates Greg, filed 2026-08-21.
By insider — same window
Open-market purchase/sale legs on non-derivative securities, grouped by the filing's reporting owner(s); joint filings appear once. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Insider | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|
| Gates Greg — Group Managing Director | 1 | — | 1 leg · 4,119 sh · $1,463,810 | 2 |
| Enyedi Matthew — Group Managing Director | 1 | — | 5 legs · 1,000 sh · $352,716 | — |
| Reeping Katharine — Principal Accounting Officer | 1 | — | 1 leg · 440 sh · $153,049 | — |
| Jambusaria Aneri — Group Managing Director | 1 | — | 1 leg · 308 sh · $110,067 | — |
| Putnam James S — Director | 2 | — | — | 2 |
| BERNARD EDWARD C — Director | 1 | — | — | 1 |
| EBERHART PAULETT — Director | 1 | — | — | 1 |
| Field Emily — Group Managing Director | 1 | — | — | 1 |
| Glavin William Francis Jr — Director | 1 | — | — | 1 |
| Mnookin Allison — Director | 1 | — | — | 1 |
+2 more insiders in the window, not shown — every filing appears in the table below.
Recent Form 4 filings — LPL Financial Holdings Inc.
| Filed | Form | Insider | Reported transactions | Source |
|---|---|---|---|---|
| 2026-09-14 | 4 | Reeping Katharine — Principal Accounting Officer | Sale (S): 439.95 @ $347.88 | EDGAR |
| 2026-09-08 | 4 | Field Emily — Group Managing Director | Tax withholding (F): 106 @ $359.33 | EDGAR |
| 2026-09-01 | 4 | Putnam James S — Director | Grant/award (A): 7 @ $0 | EDGAR |
| 2026-09-01 | 4 | SCHIFTER RICHARD P — Director | Grant/award (A): 14 @ $0 | EDGAR |
| 2026-09-01 | 4 | Thomas Corey E. — Director | Grant/award (A): 4 @ $0 | EDGAR |
| 2026-09-01 | 4 | Mnookin Allison — Director | Grant/award (A): 2 @ $0 | EDGAR |
| 2026-09-01 | 4 | Glavin William Francis Jr — Director | Grant/award (A): 10 @ $0 | EDGAR |
| 2026-09-01 | 4 | BERNARD EDWARD C — Director | Grant/award (A): 3 @ $0 | EDGAR |
| 2026-09-01 | 4 | EBERHART PAULETT — Director | Grant/award (A): 4 @ $0 | EDGAR |
| 2026-08-31 | 4 | Jambusaria Aneri — Group Managing Director | Sale (S): 308 @ $357.36 | EDGAR |
| 2026-08-21 | 4 | Gates Greg — Group Managing Director | Option exercise (M): 7,189 @ $77.53 · Sale (S): 4,119 @ $355.38 · Option exercise (M): 7,189 (derivative) @ $0 | EDGAR |
| 2026-08-04 | 4 | Enyedi Matthew — Group Managing Director | Sale (S): 189 @ $351.06 · Sale (S): 463 @ $352.77 · Sale (S): 296 @ $353.37 · Sale (S): 51 @ $354.52 · Sale (S): 1 @ $355.51 | EDGAR |
| 2026-08-04 | 4 | Putnam James S — Director | Gift (G): 2,000 @ $0 | EDGAR |
| 2026-06-22 | 4 | Jambusaria Aneri — Group Managing Director | Sale (S): 308 @ $306 | EDGAR |
| 2026-06-15 | 4 | Gates Greg — Group Managing Director | Tax withholding (F): 232 @ $295.66 | EDGAR |
| 2026-06-15 | 4 | Cohen Marc Eliot — Group Managing Director | Tax withholding (F): 44 @ $295.66 | EDGAR |
| 2026-06-08 | 4 | Thomas Corey E. — Director | Grant/award (A): 7 @ $0 | EDGAR |
| 2026-06-08 | 4 | Putnam James S — Director | Grant/award (A): 10 @ $0 | EDGAR |
| 2026-06-08 | 4 | Mnookin Allison — Director | Grant/award (A): 3 @ $0 | EDGAR |
| 2026-06-08 | 4 | Glavin William Francis Jr — Director | Grant/award (A): 15 @ $0 | EDGAR |
| 2026-06-08 | 4 | SCHIFTER RICHARD P — Director | Grant/award (A): 19 @ $0 | EDGAR |
| 2026-06-08 | 4 | BERNARD EDWARD C — Director | Grant/award (A): 4 @ $0 | EDGAR |
| 2026-06-08 | 4 | EBERHART PAULETT — Director | Grant/award (A): 5 @ $0 | EDGAR |
| 2026-05-19 | 4 | Thomas Corey E. — Director | Grant/award (A): 712 @ $0 · Grant/award (A): 348 @ $0 | EDGAR |
| 2026-05-19 | 4 | Putnam James S — Director | Grant/award (A): 712 @ $0 | EDGAR |
| 2026-05-19 | 4 | Mnookin Allison — Director | Grant/award (A): 712 @ $0 | EDGAR |
| 2026-05-19 | 4 | Ko Albert J — Director | Grant/award (A): 712 @ $0 | EDGAR |
| 2026-05-19 | 4 | Khanna Somesh — Director | Grant/award (A): 712 @ $0 | EDGAR |
| 2026-05-19 | 4 | Glavin William Francis Jr — Director | Grant/award (A): 712 @ $0 | EDGAR |
| 2026-05-19 | 4 | SCHIFTER RICHARD P — Director | Grant/award (A): 712 @ $0 · Grant/award (A): 348 @ $0 | EDGAR |
| 2026-05-19 | 4 | BERNARD EDWARD C — Director | Grant/award (A): 712 @ $0 · Grant/award (A): 348 @ $0 | EDGAR |
| 2026-05-19 | 4 | MULCAHY ANNE M — Director | Grant/award (A): 712 @ $0 · Grant/award (A): 348 @ $0 | EDGAR |
| 2026-05-19 | 4 | EBERHART PAULETT — Director | Grant/award (A): 712 @ $0 | EDGAR |
| 2026-05-08 | 4 | Putnam James S — Director | Gift (G): 100 @ $0 | EDGAR |
| 2026-04-16 | 4 | Audette Matthew J — President and CFO | Sale (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 @ $332.27 | EDGAR |
| 2026-03-26 | 4 | Thomas Corey E. — Director | Grant/award (A): 7 @ $0 | EDGAR |
| 2026-03-26 | 4 | Putnam James S — Director | Grant/award (A): 10 @ $0 | EDGAR |
| 2026-03-26 | 4 | Mnookin Allison — Director | Grant/award (A): 3 @ $0 | EDGAR |
| 2026-03-26 | 4 | Glavin William Francis Jr — Director | Grant/award (A): 15 @ $0 | EDGAR |
| 2026-03-26 | 4 | SCHIFTER RICHARD P — Director | Grant/award (A): 19 @ $0 | EDGAR |
| 2026-03-26 | 4 | BERNARD EDWARD C — Director | Grant/award (A): 4 @ $0 | EDGAR |
| 2026-03-26 | 4 | EBERHART PAULETT — Director | Grant/award (A): 5 @ $0 | EDGAR |
| 2026-03-11 | 4 | Cohen Marc Eliot — Group Managing Director | Option 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) @ $0 | EDGAR |
| 2026-03-04 | 4 | Jambusaria Aneri — Group Managing Director | Sale (S): 308 @ $306 | EDGAR |
| 2026-02-27 | 4 | Jambusaria Aneri — Group Managing Director | Grant/award (A): 942 @ $0 · Tax withholding (F): 715 @ $318.47 · Grant/award (A): 1,302 @ $0 | EDGAR |
| 2026-02-27 | 4 | Gates Greg — Group Managing Director | Grant/award (A): 1,856 @ $0 · Tax withholding (F): 1,293 @ $318.47 · Grant/award (A): 2,774 @ $0 · Grant/award (A): 2,807 @ $0 | EDGAR |
| 2026-02-27 | 4 | Field Emily — Group Managing Director | Grant/award (A): 1,122 @ $0 | EDGAR |
| 2026-02-27 | 4 | Enyedi Matthew — Group Managing Director | Grant/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 more | EDGAR |
| 2026-02-27 | 4 | Cohen Marc Eliot — Group Managing Director | Grant/award (A): 537 @ $0 · Tax withholding (F): 483 @ $318.47 · Grant/award (A): 1,403 @ $0 | EDGAR |
| 2026-02-27 | 4 | Audette Matthew J — President and CFO | Grant/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 more | EDGAR |
Recent 8-K events — LPL Financial Holdings Inc.
| Filed | Form | Items reported | Source |
|---|---|---|---|
| 2026-07-30 | 8-K | 2.02 — Results of Operations and Financial Condition 9.01 — Financial Statements and Exhibits | EDGAR |
| 2026-05-15 | 8-K | 5.03 — 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 |
| 2026-04-30 | 8-K | 2.02 — Results of Operations and Financial Condition 9.01 — Financial Statements and Exhibits | EDGAR |
| 2026-01-29 | 8-K | 2.02 — Results of Operations and Financial Condition 9.01 — Financial Statements and Exhibits | EDGAR |
| 2026-01-08 | 8-K | 5.02 — 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 |
| 2025-10-30 | 8-K | 2.02 — Results of Operations and Financial Condition 9.01 — Financial Statements and Exhibits | EDGAR |
| 2025-08-01 | 8-K | 7.01 — Regulation FD Disclosure 8.01 — Other Events 9.01 — Financial Statements and Exhibits | EDGAR |
| 2025-07-31 | 8-K | 2.02 — Results of Operations and Financial Condition 9.01 — Financial Statements and Exhibits | EDGAR |
| 2025-07-03 | 8-K | 5.02 — 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 |
| 2025-06-03 | 8-K | 5.02 — Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | EDGAR |
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