Key facts
- This page summarizes Greg Gates's Form 4 filing for LPL Financial Holdings Inc. (LPLA).
- 2 reported transactions and 0 derivative rows are listed below.
- Accepted by SEC: 01 Mar 2022, 17:03.
Greg Gates - 25 Feb 2022 Form 4 Insider Report for LPL Financial Holdings Inc. (LPLA)
- Reporting relationship
- Managing Director
- Issuer ticker
- LPLA
- Reported as of
- 25 Feb 2022
- Net transaction value
- -$133,210
- SEC form
- 4
- Accepted by SEC
- 01 Mar 2022, 17:03:03 UTC
- Prior SEC filing
- 13 Dec 2021
- Next SEC filing
- 06 Jun 2022
- Source filing
- View source filing
- Reporting owner signature
- Gregory M. Woods, attorney-in-fact
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Greg Gates filed Form 4 for LPL Financial Holdings Inc. (LPLA) on 01 Mar 2022.
Change
- Previous filing in this sequence was filed on 13 Dec 2021.
- Current net transaction value: -$133,210.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
LPLA
transaction
Common Stock
Tax liability
- Transaction value
- $133,210
- Shares
- -729
- Change %
- -3.6%
- Price
- $182.73
- Shares after
- 19,777
- Date
- 25 Feb 2022
- Ownership
- Direct
LPLA
transaction
Common Stock
Award
- Transaction value
- $0
- Shares
- +2,057
- Change %
- +10%
- Price
- $0.000000
- Shares after
- 21,834
- Date
- 25 Feb 2022
- Ownership
- Direct
- Footnotes
- F1, F2
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 2 footnotes
Footnote F1
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, 2023, February 25, 2024, and February 25, 2025. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.
Footnote F2
Consists of (i) 14,063 shares of Common Stock; (ii) 735 restricted stock units that vest in full on February 25, 2023; (iii) 2,999 restricted stock units that vest ratably on each of June 5, 2022 and June 5, 2023; (iv) 1,980 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (v) the restricted stock units reported on this Form 4.
SEC remarks
The signatory is signing on behalf of Greg Gates pursuant to a Power of Attorney dated August 2, 2021.