Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LPL Financial Holdings Inc.LPLA · Entity 3160 | Group Managing Director | August 20, 2026 | August 21, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
LPL Financial Holdings Inc.
Report date August 20, 2026 · Filed August 21, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 27,721 |
Reported balance
After 2026-08-20 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-08-20 · Exercise / conversion · Acquired 7,189 · Balance 27,721 |
| Common StockSEC Table I · non-derivative | Direct | 23,602 |
Reported balance
After 2026-08-20 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2026-08-20 · Sale · Disposed 4,119 · Balance 23,602 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $355.25 to $355.47, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. F2: Consists of (i) 15,807 shares of Common Stock; (ii) 776 restricted stock units that vest in full on February 25, 2027; (iii) 1,438 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; (iv) 2,774 restricted stock units that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029; and (v) 2,807 restricted stock units that vest ratably on each of February 25, 2028 and August 31, 2029. |
| Option to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $77.53 · Expires 2029-02-25 | Direct | 0 |
Reported balance
After 2026-08-20 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-08-20 · Exercise / conversion · Disposed 7,189 · Balance 0 F3: This option became exercisable in three installments, beginning February 25, 2020, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $355.25 to $355.47, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.
F2: Consists of (i) 15,807 shares of Common Stock; (ii) 776 restricted stock units that vest in full on February 25, 2027; (iii) 1,438 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; (iv) 2,774 restricted stock units that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029; and (v) 2,807 restricted stock units that vest ratably on each of February 25, 2028 and August 31, 2029.
F3: This option became exercisable in three installments, beginning February 25, 2020, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2022.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 20, 2026 Filed Aug 21, 2026 20:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 7,189 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001628280-26-058423 · wk-form4_1787342927.xml · derivative · entry 3 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,189 shares Expires 2029-02-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: This option became exercisable in three installments, beginning February 25, 2020, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2022. Read SEC document |
| August 20, 2026 Filed Aug 21, 2026 20:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,119 | $355.38 | $1,463,810.22 |
DisclosureSEC source: 0001628280-26-058423 · wk-form4_1787342927.xml · nonDerivative · entry 2 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,602 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $355.25 to $355.47, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. F2 · balance_after: Consists of (i) 15,807 shares of Common Stock; (ii) 776 restricted stock units that vest in full on February 25, 2027; (iii) 1,438 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; (iv) 2,774 restricted stock units that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029; and (v) 2,807 restricted stock units that vest ratably on each of February 25, 2028 and August 31, 2029. Read SEC document |
| August 20, 2026 Filed Aug 21, 2026 20:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 7,189 | $77.53 | $557,363.17 |
DisclosureSEC source: 0001628280-26-058423 · wk-form4_1787342927.xml · nonDerivative · entry 1 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,721 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 12, 2026 Filed Jun 15, 2026 20:45 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 232 | $295.66 | $68,593.12 |
DisclosureSEC source: 0001628280-26-043263 · wk-form4_1781556333.xml · nonDerivative · entry 1 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,532 F1 · balance_after: Consists of (i) 12,737 shares of Common Stock; (ii) 776 restricted stock units that vest in full on February 25, 2027; (iii) 1,438 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; (iv) 2,774 restricted stock units that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029; and (v) 2,807 restricted stock units that vest ratably on each of February 25, 2028 and August 31, 2029. Read SEC document |
| February 25, 2026 Filed Feb 27, 2026 22:12 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,807 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-012928 · wk-form4_1772230323.xml · nonDerivative · entry 4 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,764 F3 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. One-half of these restricted stock units will vest on February 25, 2028 and the other half of such RSUs to vest on August 31, 2029. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F4 · balance_after: Consists of (i) 12,458 shares of Common Stock; (ii) 511 restricted stock units that vest in full on June 12, 2026; (iii) 776 restricted stock units that vest in full on February 25, 2027; (iv) 1,438 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; and (v) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2026 Filed Feb 27, 2026 22:12 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,774 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-012928 · wk-form4_1772230323.xml · nonDerivative · entry 3 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,957 F2 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| February 25, 2026 Filed Feb 27, 2026 22:12 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 1,293 | $318.47 | $411,781.71 |
DisclosureSEC source: 0001628280-26-012928 · wk-form4_1772230323.xml · nonDerivative · entry 2 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,183 Read SEC document |
| February 25, 2026 Filed Feb 27, 2026 22:12 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,856 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-012928 · wk-form4_1772230323.xml · nonDerivative · entry 1 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,476 F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2023. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending February 14, 2026. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 81% of the reporting person's target award. Read SEC document |
| December 05, 2025 Filed Dec 10, 2025 00:03 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 39 | $373.09 | $14,550.51 |
DisclosureSEC source: 0001628280-25-056209 · wk-form4_1765324989.xml · nonDerivative · entry 6 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 14,620 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $372.86 to $373.32, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4. F8 · balance_after: Consists of (i) 9,891 shares of Common Stock; (ii) 510 restricted stock units that vest in full on February 25, 2026; (iii) 511 restricted stock units that vest in full on June 12, 2026; (iv) 1,551 restricted stock units that vest ratably on each of February 25, 2026 and February 25, 2027; and (v) 2,157 restricted stock units that vest ratably on each of February 25, 2026, February 25, 2027 and February 25, 2028. Read SEC document |
| December 05, 2025 Filed Dec 10, 2025 00:03 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 85 | $372.32 | $31,647.20 |
DisclosureSEC source: 0001628280-25-056209 · wk-form4_1765324989.xml · nonDerivative · entry 5 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 14,659 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $371.83 to $372.82, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4. Read SEC document |
| December 05, 2025 Filed Dec 10, 2025 00:03 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 410 | $371.20 | $152,192.00 |
DisclosureSEC source: 0001628280-25-056209 · wk-form4_1765324989.xml · nonDerivative · entry 4 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 14,744 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $370.81 to $371.71, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4. Read SEC document |
| December 05, 2025 Filed Dec 10, 2025 00:03 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 136 | $370.44 | $50,379.84 |
DisclosureSEC source: 0001628280-25-056209 · wk-form4_1765324989.xml · nonDerivative · entry 3 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 15,154 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $369.81 to $370.80, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| December 05, 2025 Filed Dec 10, 2025 00:03 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 34 | $368.70 | $12,535.80 |
DisclosureSEC source: 0001628280-25-056209 · wk-form4_1765324989.xml · nonDerivative · entry 2 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 15,290 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $368.53 to $368.94, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| December 05, 2025 Filed Dec 10, 2025 00:03 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 46 | $367.95 | $16,925.70 |
DisclosureSEC source: 0001628280-25-056209 · wk-form4_1765324989.xml · nonDerivative · entry 1 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 15,324 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $367.38 to $368.35, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| November 05, 2025 Filed Nov 7, 2025 21:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 39 | $380.12 | $14,824.68 |
DisclosureSEC source: 0001628280-25-050641 · wk-form4_1762549818.xml · nonDerivative · entry 8 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 15,370 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F9 · balance_after: Consists of (i) 10,641 shares of Common Stock; (ii) 510 restricted stock units that vest in full on February 25, 2026; (iii) 511 restricted stock units that vest in full on June 12, 2026; (iv) 1,551 restricted stock units that vest ratably on each of February 25, 2026 and February 25, 2027; and (v) 2,157 restricted stock units that vest ratably on each of February 25, 2026, February 25, 2027 and February 25, 2028. Read SEC document |
| November 05, 2025 Filed Nov 7, 2025 21:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 169 | $379.58 | $64,149.02 |
DisclosureSEC source: 0001628280-25-050641 · wk-form4_1762549818.xml · nonDerivative · entry 7 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 15,409 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $379.08 to $379.97, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (8) to this Form 4. Read SEC document |
| November 05, 2025 Filed Nov 7, 2025 21:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 234 | $378.24 | $88,508.16 |
DisclosureSEC source: 0001628280-25-050641 · wk-form4_1762549818.xml · nonDerivative · entry 6 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 15,578 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $377.74 to $378.56, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4. Read SEC document |
| November 05, 2025 Filed Nov 7, 2025 21:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 293 | $377.01 | $110,463.93 |
DisclosureSEC source: 0001628280-25-050641 · wk-form4_1762549818.xml · nonDerivative · entry 5 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 15,812 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $376.64 to $377.59, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4. Read SEC document |
| November 05, 2025 Filed Nov 7, 2025 21:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 267 | $375.80 | $100,338.60 |
DisclosureSEC source: 0001628280-25-050641 · wk-form4_1762549818.xml · nonDerivative · entry 4 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 16,105 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $375.48 to $376.05, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4. Read SEC document |
| November 05, 2025 Filed Nov 7, 2025 21:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 230 | $374.86 | $86,217.80 |
DisclosureSEC source: 0001628280-25-050641 · wk-form4_1762549818.xml · nonDerivative · entry 3 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 16,372 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $374.42 to $375.26, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| November 05, 2025 Filed Nov 7, 2025 21:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 205 | $374.00 | $76,670.00 |
DisclosureSEC source: 0001628280-25-050641 · wk-form4_1762549818.xml · nonDerivative · entry 2 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 16,602 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $373.41 to $374.40, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| November 05, 2025 Filed Nov 7, 2025 21:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 63 | $372.62 | $23,475.06 |
DisclosureSEC source: 0001628280-25-050641 · wk-form4_1762549818.xml · nonDerivative · entry 1 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 16,807 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $372.39 to $372.81, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| October 06, 2025 Filed Oct 8, 2025 20:23 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 102 | $320.27 | $32,667.54 |
DisclosureSEC source: 0001628280-25-044604 · wk-form4_1759955031.xml · nonDerivative · entry 5 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 16,870 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $320.27 to $320.50, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4. F7 · balance_after: Consists of (i) 12,141 shares of Common Stock; (ii) 510 restricted stock units that vest in full on February 25, 2026; (iii) 511 restricted stock units that vest in full on June 12, 2026; (iv) 1,551 restricted stock units that vest ratably on each of February 25, 2026 and February 25, 2027; and (v) 2,157 restricted stock units that vest ratably on each of February 25, 2026, February 25, 2027 and February 25, 2028. Read SEC document |
| October 06, 2025 Filed Oct 8, 2025 20:23 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 132 | $315.09 | $41,591.88 |
DisclosureSEC source: 0001628280-25-044604 · wk-form4_1759955031.xml · nonDerivative · entry 4 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 16,972 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $315.09 to $315.10, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4. Read SEC document |
| October 06, 2025 Filed Oct 8, 2025 20:23 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 109 | $314.04 | $34,230.36 |
DisclosureSEC source: 0001628280-25-044604 · wk-form4_1759955031.xml · nonDerivative · entry 3 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 17,104 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $314.04 to $314.05, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| October 06, 2025 Filed Oct 8, 2025 20:23 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 266 | $313.20 | $83,311.20 |
DisclosureSEC source: 0001628280-25-044604 · wk-form4_1759955031.xml · nonDerivative · entry 2 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 17,213 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $312.59 to $313.28, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| October 06, 2025 Filed Oct 8, 2025 20:23 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 141 | $312.15 | $44,013.15 |
DisclosureSEC source: 0001628280-25-044604 · wk-form4_1759955031.xml · nonDerivative · entry 1 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 17,479 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $311.57 to $312.26, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 32 | $349.60 | $11,187.20 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 18 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 17,620 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F16 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $349.18 to $349.86, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (16) to this Form 4. F17 · balance_after: Consists of (i) 12,891 shares of Common Stock; (ii) 510 restricted stock units that vest in full on February 25, 2026; (iii) 511 restricted stock units that vest in full on June 12, 2026; (iv) 1,551 restricted stock units that vest ratably on each of February 25, 2026 and February 25, 2027; and (v) 2,157 restricted stock units that vest ratably on each of February 25, 2026, February 25, 2027 and February 25, 2028. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 11 | $348.04 | $3,828.44 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 17 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 17,652 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F15 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $347.97 to $348.05, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (15) to this Form 4. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 106 | $347.46 | $36,830.76 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 16 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 17,663 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F14 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $346.81 to $347.68, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (14) to this Form 4. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1 | $345.44 | $345.44 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 15 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 17,769 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3 | $344.67 | $1,034.01 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 14 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 17,770 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F13 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $344.43 to $345.15, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (13) to this Form 4. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 150 | $343.98 | $51,597.00 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 13 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 17,773 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $343.434 to $344.430, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (12) to this Form 4. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 47 | $342.88 | $16,115.36 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 12 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 17,923 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $342.43 to $343.42, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (11) to this Form 4. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 79 | $341.89 | $27,009.31 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 11 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 17,970 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $341.42 to $342.41, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (10) to this Form 4. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 190 | $340.83 | $64,757.70 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 10 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 18,049 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $340.39 to $341.38, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (9) to this Form 4. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 121 | $340.01 | $41,141.21 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 9 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 18,239 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $339.32 to $340.31, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (8) to this Form 4. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 25 | $337.58 | $8,439.50 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 8 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 18,360 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 128 | $337.13 | $43,152.64 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 7 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 18,385 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $336.58 to $337.55, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 72 | $335.84 | $24,180.48 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 6 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 18,513 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $335.57 to $336.37, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 28 | $334.53 | $9,366.84 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 5 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 18,585 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 326 | $332.90 | $108,525.40 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 4 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 18,613 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $332.36 to $333.34, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 79 | $331.83 | $26,214.57 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 3 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 18,939 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $331.22 to $332.15, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 11 | $330.12 | $3,631.32 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 2 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 19,018 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $330.08 to $330.18, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| September 05, 2025 Filed Sep 9, 2025 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 91 | $329.17 | $29,954.47 |
DisclosureSEC source: 0001397911-25-000147 · wk-form4_1757451656.xml · nonDerivative · entry 1 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 19,029 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $328.80 to $329.62, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| August 05, 2025 Filed Aug 7, 2025 20:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4 | $381.34 | $1,525.36 |
DisclosureSEC source: 0001397911-25-000124 · wk-form4_1754598692.xml · nonDerivative · entry 10 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 19,120 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $381.05 to $381.49, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (11) to this Form 4. F12 · balance_after: Consists of (i) 14,391 shares of Common Stock; (ii) 510 restricted stock units that vest in full on February 25, 2026; (iii) 511 restricted stock units that vest in full on June 12, 2026; (iv) 1,551 restricted stock units that vest ratably on each of February 25, 2026 and February 25, 2027; and (v) 2,157 restricted stock units that vest ratably on each of February 25, 2026, February 25, 2027 and February 25, 2028. Read SEC document |
| August 05, 2025 Filed Aug 7, 2025 20:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 9 | $380.46 | $3,424.14 |
DisclosureSEC source: 0001397911-25-000124 · wk-form4_1754598692.xml · nonDerivative · entry 9 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 19,124 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $379.89 to $380.77, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (10) to this Form 4. Read SEC document |
| August 05, 2025 Filed Aug 7, 2025 20:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 30 | $378.47 | $11,354.10 |
DisclosureSEC source: 0001397911-25-000124 · wk-form4_1754598692.xml · nonDerivative · entry 8 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 19,133 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $378.24 to $378.77, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (9) to this Form 4. Read SEC document |
| August 05, 2025 Filed Aug 7, 2025 20:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 42 | $377.79 | $15,867.18 |
DisclosureSEC source: 0001397911-25-000124 · wk-form4_1754598692.xml · nonDerivative · entry 7 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 19,163 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $377.22 to $378.19, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (8) to this Form 4. Read SEC document |
| August 05, 2025 Filed Aug 7, 2025 20:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 106 | $376.30 | $39,887.80 |
DisclosureSEC source: 0001397911-25-000124 · wk-form4_1754598692.xml · nonDerivative · entry 6 Gates Greg · CIK 0001877100 · Group Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 19,205 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $376.04 to $376.75, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.