LPL Financial Holdings Inc.
For the period ended Dec 31, 2025. Filed Feb 23, 2026.
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FY2025 · Filed Feb 23, 2026
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Item 9B. Other Information
During the three months ended December 31, 2025, certain of our officers (as defined in Rule 16a-1(f) under the Exchange Act) entered into contracts, instructions or written plans for the purchase or sale of our common stock that are intended to satisfy the affirmative defense conditions specified in Rule 10b5-1(c) under the Exchange Act (“Rule 10b5-1 trading arrangements”). The table below sets forth certain information regarding such Rule 10b5-1 trading arrangements:
| Officer | Date of Plan Adoption | Commencement of Trading Period | Termination of Trading Period(1) | Maximum Number of Securities to be Purchased or Sold Pursuant to the Rule 10b5-1 Trading Arrangements | Purchase or Sale |
|---|---|---|---|---|---|
| Aneri Jambusaria, Group Managing Director, Chief Wealth Officer | November 3, 2025 | March 2, 2026 | January 22, 2027 | 2,170 | Sale |
| Matthew Enyedi, Group Managing Director, Chief Client Officer | November 24, 2025 | February 26, 2026 | August 26, 2026 | 4,864 | Sale |
(1)Represents the outside termination date pursuant to terms of each applicable plan. The agreement governing the applicable plan may terminate earlier pursuant to its terms in certain circumstances outside of the control of the applicable officer, including if all trades under the plan are completed prior to the termination of the trading period.
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