InsiderTrades

Form 4 for LPLA LPL Financial Holdings Inc.

Accepted 2025-10-08 00:00:00 ET · period of report 2025-10-06 · accession 0001628280-25-044604 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X Filed Traded Ticker Insider Title Type Price Qty Owned ΔOwn Value
M 2025-10-08 2025-10-06 LPLA Gates Greg Group Managing Dir S - Sale $314.42 -750 16.9K -4% -$235.8K

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Common Stock 2025-10-06 S D 141 $312.15 17,479 D — — (F2) 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.
2 Common Common Stock 2025-10-06 S D 266 $313.20 17,213 D — — (F3) 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.
3 Common Common Stock 2025-10-06 S D 109 $314.04 17,104 D — — (F4) 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.
4 Common Common Stock 2025-10-06 S D 132 $315.09 16,972 D — — (F5) 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.
5 Common Common Stock 2025-10-06 S D 102 $320.27 16,870 D — — (F6) 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) 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.