| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Jambusaria Aneri | Group Managing Director | C/O LPL FINANCIAL HOLDINGS INC., 4707 EXECUTIVE DRIVE, SAN DIEGO | /s/ Robert S. Hatfield III, attorney-in-fact | 2025-09-03 | 0001966430 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | LPLA | Common Stock | Sale | -$28.9K | -80 | -1.41% | $361.25 | 5.58K | Sep 2, 2025 | Direct | F1, F2 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2024. |
| F2 | Consists of (i) 3,458 shares of Common Stock; (ii) 259 restricted stock units that vest in full on February 25, 2026; (iii) 759 restricted stock units that vest ratably on each of February 25, 2026 and February 25, 2027; and (iv) 1,106 restricted stock units that vest ratably on each of February 25, 2026, February 25, 2027 and February 25, 2028. |
The signatory is signing on behalf of Aneri Jambusaria pursuant to a Power of Attorney dated December 17, 2024.