LPL Financial Holdings Inc.
For the period ended Sep 30, 2026. Filed Oct 29, 2026.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2026 · Filed Oct 29, 2026
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Item 5. Other Information
During the three months ended September 30, 2026, certain of our directors or officers (as defined in Rule 16a-1(f) under the Exchange Act)entered into, modified or terminated 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.
| 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 |
|---|---|---|---|---|---|
| Matthew Audette, President and Chief Financial Officer | August 5, 2026 | February 25, 2027 | April 15, 2027 | 8,516 | Sale |
| Richard Steinmeier, Chief Executive Officer | August 6, 2026 | November 5, 2026 | December 14, 2026 | 3,692 | 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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