Greg Gates - 06 Oct 2025 Form 4 Insider Report for LPL Financial Holdings Inc. (LPLA)

Reporting relationship: Group Managing Director
Issuer ticker: LPLA
Reported as of: 06 Oct 2025
Net transaction value: -$235,814
SEC form: 4
Accepted by SEC: 08 Oct 2025, 16:23:54 UTC
Prior SEC filing: 09 Sep 2025
Next SEC filing: 07 Nov 2025
Source filing: View source filing
Reporting owner signature: /s/ Rachel E. Pearlman, attorney-in-fact

Key filing fact

Greg Gates filed Form 4 for LPL Financial Holdings Inc. (LPLA) on 08 Oct 2025.

Key facts

This page summarizes Greg Gates's Form 4 filing for LPL Financial Holdings Inc. (LPLA).
5 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 08 Oct 2025, 16:23.

Change

Previous filing in this sequence was filed on 09 Sep 2025.
Current net transaction value: -$235,814.

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

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001877100 Primary reporting owner

Gates Greg

Relationship: Group Managing Director
Address: C/O LPL FINANCIAL, 4707 EXECUTIVE DRIVE, SAN DIEGO
Signature: /s/ Rachel E. Pearlman, attorney-in-fact
Signature date: 08 Oct 2025

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

LPLA transaction

Common Stock

Sale

Transaction value: $44,013
Shares: -141
Change %: -0.8%
Price: $312.15
Shares after: 17,479
Date: 06 Oct 2025
Ownership: Direct
Footnotes: F1, F2

LPLA transaction

Common Stock

Sale

Transaction value: $83,311
Shares: -266
Change %: -1.5%
Price: $313.20
Shares after: 17,213
Date: 06 Oct 2025
Ownership: Direct
Footnotes: F1, F3

LPLA transaction

Common Stock

Sale

Transaction value: $34,230
Shares: -109
Change %: -0.63%
Price: $314.04
Shares after: 17,104
Date: 06 Oct 2025
Ownership: Direct
Footnotes: F1, F4

LPLA transaction

Common Stock

Sale

Transaction value: $41,592
Shares: -132
Change %: -0.77%
Price: $315.09
Shares after: 16,972
Date: 06 Oct 2025
Ownership: Direct
Footnotes: F1, F5

LPLA transaction

Common Stock

Sale

Transaction value: $32,668
Shares: -102
Change %: -0.6%
Price: $320.27
Shares after: 16,870
Date: 06 Oct 2025
Ownership: Direct
Footnotes: F1, F6, F7

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Rule 10b5-1 trading plan

These transactions were reported as open-market trades under a Rule 10b5-1 plan. The plan lets an insider set trading instructions in advance, which can reduce the risk of trading while in possession of material nonpublic information.

Original filing language: transaction made pursuant to a contract, instruction, or written plan intended to satisfy Rule 10b5-1(c).

Explanation of responses 7 footnotes

Footnote F1

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.

Footnote 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.

Footnote 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.

Footnote 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.

Footnote 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.

Footnote 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.

Footnote 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.

SEC remarks

The signatory is signing on behalf of Greg Gates pursuant to a Power of Attorney dated December 17, 2024.