Transaction · 0001628280-26-058423

Gates Greg

Gates Greg, DIR, reported an open-market or private sale at LPL Financial Holdings Inc. involving 4119.000000 shares for an estimated $1463810.22. Reported holdings after the transaction were 23602.000000 shares. A 10b5-1 reference was not detected in the stored filing text.

Open-market sellSEC transaction code SDIR
LPLALPL Financial Holdings Inc.
Filing timeAug 21
Trade dateAug 20, 2026
Filing · SECView on SEC
InsiderProfile

Price performance since filing

Close on the filing date, the pre-filing context, and the forward return at standard windows
Price at filing
$361.35
Pre-filing
1mo ago -9.2%1w ago +3.8%1d ago -0.6%
Returns since
7d +2.6%30d +2.6%90d +2.6%180d +2.6%1y +2.6%

LPLA price since this filing

30 days of pre-filing context and vertical markers at the filing date plus 7d / 30d / 90d / 180d / 1y afterwards
LPLA since 2026-08-21Filed 13 days ago · 30 days of pre-filing context shaded
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Filing datePost-filing windows (7d, 30d, 90d, 180d, 1y)30 days of pre-filing context

Transaction facts

Stored Form 4 columns with their raw values

Non-derivative
Type
Sell
Code S
Identifier
0001628280-26-058423
Common Stock
Transaction date
Aug 20, 2026
Filed Aug 21, 2026, 08:08 PM · 1d delay
Shares
4.11k sh
$35.5k per share
Estimated value
-$146M
Computed from shares × price
Holdings after
23.6k sh
Direct

Filing signal explanations

Badges describe filing facts only — not predictions.

Cluster 14dRepeat 30dPattern $10.0MLarge $100M
Direct Ownership Large Sale
+10score
Filing-only score

+10

Compact filing score computed from stored Form 4 facts. Version v1.

Positive filing signal

This filing has a modest positive filing-only score. Treat it as a useful flag for review, not as a buy signal.

Reported relationships & other filings

Form 4 relationship flags and nearby filing context

Reported roles

Group Managing Director

Officer YesDirector No10% NoOther No
Footnotes & amended
  1. 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

  2. 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

  3. of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

  4. 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…

  5. 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, 2…

Original filing · 0001628280-26-058423
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