LPLA insider buying and SEC filings, explained
LPL Financial Holdings Inc. · CIK 1397911
Tracked: Forms 3/4/5, 8-K, NT · All filings on sec.gov
Insider activity in the last 12 months
Bought
$0
Insiders who bought
0
Sold (not marked 10b5-1)
$490K
Planned sales (10b5-1)
$5.1M
Insider purchases and sales, last 12 months
| Traded | Type | What was filed | Source |
|---|---|---|---|
| Sep 11, 2026 | Sale | Katharine Reeping (Principal Accounting Officer) sold 440 shares at about $347.88 ($153K). Holdings down 20% to 1,774 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Sep 14, 2026 |
| Aug 27, 2026 | Planned (10b5-1) | Aneri Jambusaria (Group Managing Director) sold 308 shares at $357.36 ($110K), marked as a 10b5-1 plan trade. Holdings down 5% to 6,107 shares. | SEC filing Filed Aug 31, 2026 |
| Jul 31, 2026 | Planned (10b5-1) | Matthew Enyedi (Group Managing Director) sold 1,000 shares at about $352.72 ($353K), marked as a 10b5-1 plan trade. Holdings down 7% to 13,121 shares. | SEC filing Filed Aug 4, 2026 |
| Jun 17, 2026 | Planned (10b5-1) | Aneri Jambusaria (Group Managing Director) sold 308 shares at $306.00 ($94K), marked as a 10b5-1 plan trade. Holdings down 5% to 6,415 shares. | SEC filing Filed Jun 22, 2026 |
| Apr 14–15, 2026 | Planned (10b5-1) | Matthew J Audette (CFO) sold 1,579 shares between Apr 14 and Apr 15 at about $328.63 ($519K), marked as a 10b5-1 plan trade. Holdings down 7% to 19,803 shares. | SEC filing Filed Apr 16, 2026 |
| Mar 10, 2026 | Sale | Marc Eliot Cohen (Group Managing Director) sold 1,088 shares at about $309.72 ($337K). Holdings down 20% to 4,400 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Mar 11, 2026 |
| Mar 2, 2026 | Planned (10b5-1) | Aneri Jambusaria (Group Managing Director) sold 308 shares at $306.00 ($94K), marked as a 10b5-1 plan trade. Holdings down 4% to 6,723 shares. | SEC filing Filed Mar 4, 2026 |
| Feb 26, 2026 | Planned (10b5-1) | Matthew Enyedi (Group Managing Director) sold 2,109 shares at about $320.15 ($675K), marked as a 10b5-1 plan trade. Holdings down 13% to 14,121 shares. | SEC filing Filed Feb 27, 2026 |
| Feb 26, 2026 | Planned (10b5-1) | Matthew J Audette (CFO) sold 1,581 shares at about $320.50 ($507K), marked as a 10b5-1 plan trade. Holdings down 7% to 21,382 shares. | SEC filing Filed Feb 27, 2026 |
| Dec 5, 2025 | Planned (10b5-1) | Richard Steinmeier (CEO) sold 5,058 shares at about $370.99 ($1.9M), marked as a 10b5-1 plan trade. Holdings down 35% to 9,326 shares. | SEC filing Filed Dec 9, 2025 |
| Dec 5, 2025 | Planned (10b5-1) | Greg Gates (Group Managing Director) sold 750 shares at about $370.97 ($278K), marked as a 10b5-1 plan trade. Holdings down 5% to 14,620 shares. | SEC filing Filed Dec 9, 2025 |
| Dec 1, 2025 | Planned (10b5-1) | Aneri Jambusaria (Group Managing Director) sold 80 shares at $352.48 ($28K), marked as a 10b5-1 plan trade. Holdings down 1% to 5,502 shares. | SEC filing Filed Dec 3, 2025 |
| Nov 5, 2025 | Planned (10b5-1) | Greg Gates (Group Managing Director) sold 1,500 shares at about $376.43 ($565K), marked as a 10b5-1 plan trade. Holdings down 9% to 15,370 shares. | SEC filing Filed Nov 7, 2025 |
60 routine transactions (such as grants, option exercises or tax withholding) are not listed.
Cluster buys
No cluster buys in the last 12 months.
Red flags
No red flags in the last 12 months.
Key events
No key events in the last 12 months.
8-K filings, last 12 months
No 8-K filings in the last 12 months.
Red flags are objective triggers only: the item or form filed, never an opinion.
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