Greg Gates - 20 Aug 2026 Form 4 Insider Report for LPL Financial Holdings Inc. (LPLA)

Reporting relationship: Group Managing Director
Issuer ticker: LPLA
Reported as of: 20 Aug 2026
Net transaction value: -$1,463,810
SEC form: 4
Accepted by SEC: 21 Aug 2026, 16:08:50 UTC
Prior SEC filing: 15 Jun 2026
Source filing: View source filing
Reporting owner signature: /s/ Robert S. Hatfield III, attorney-in-fact

Key filing fact

Greg Gates filed Form 4 for LPL Financial Holdings Inc. (LPLA) on 21 Aug 2026.

Key facts

This page summarizes Greg Gates's Form 4 filing for LPL Financial Holdings Inc. (LPLA).
3 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 21 Aug 2026, 16:08.

Change

Previous filing in this sequence was filed on 15 Jun 2026.
Current net transaction value: -$1,463,810.

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/ Robert S. Hatfield III, attorney-in-fact
Signature date: 21 Aug 2026

Reported non-derivative transactions

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

LPLA transaction

Common Stock

Options Exercise

Transaction value
Shares: +7,189
Change %: +35%
Price: $77.53^*
Shares after: 27,721
Date: 20 Aug 2026
Ownership: Direct

LPLA transaction

Common Stock

Sale

Transaction value: $1,463,810
Shares: -4,119
Change %: -15%
Price: $355.38
Shares after: 23,602
Date: 20 Aug 2026
Ownership: Direct
Footnotes: F1, F2

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

LPLA transaction Derivative

Option to purchase Common Stock

Options Exercise

Transaction value
Shares: -7,189
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 20 Aug 2026
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 7,189
Exercise price: $77.53
Footnotes: F3

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

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 3 footnotes

Footnote 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.

Footnote 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.

Footnote 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.

SEC remarks

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