Key facts
- This page summarizes Greg Gates's Form 3 filing for LPL Financial Holdings Inc. (LPLA).
- 0 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 09 Aug 2021, 16:09.
Greg Gates - 30 Jul 2021 Form 3 Insider Report for LPL Financial Holdings Inc. (LPLA)
- Reporting relationship
- Managing Director
- Issuer ticker
- LPLA
- Reported as of
- 30 Jul 2021
- Net transaction value
- $0
- SEC form
- 3
- Accepted by SEC
- 09 Aug 2021, 16:09:39 UTC
- Next SEC filing
- 13 Dec 2021
- Source filing
- View source filing
- Reporting owner signature
- /s/ Gregory M. Woods, attorney-in-fact
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
Greg Gates filed Form 3 for LPL Financial Holdings Inc. (LPLA) on 09 Aug 2021.
Change
- No earlier filing in this sequence is available for direct comparison.
- Current net transaction value: $0.
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
Official SEC source
View source filing
Ownership activity is grounded in SEC Form 3 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
LPLA
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 22,820
- Date
- 30 Jul 2021
- Ownership
- Direct
- Footnotes
- F1
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
LPLA
holding
Derivative
Option to purchase Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- Date
- 30 Jul 2021
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 7,189
- Exercise price
- $77.53
- Footnotes
- 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
Consists of (i) 9,489 shares of Common Stock; (ii) 5,361 restricted stock units that vest in full on December 11, 2021; (iii) 532 restricted stock units that vest in full on February 25, 2022; (iv) 1,470 restricted stock units that vest ratably on February 25, 2022 and February 25, 2023; (v) 2,999 restricted stock units that vest ratably on June 5, 2022 and June 5, 2023; and (vi) 2,969 restricted stock units that vest ratably on February 25, 2022, February 25, 2023 and February 25, 2024.
Footnote F2
This option is currently exercisable as to 4,794 shares. The remainder of the award will become vested and exercisable on February 25, 2022.
SEC remarks
The signatory is signing on behalf of Greg Gates pursuant to a Power of Attorney dated August 2, 2021, which is filed as Exhibit 24.1 to this filing.