Transaction · 0001628280-26-058423

Gates Greg

Gates Greg, DIR, reported a transaction classified as exercise at LPL Financial Holdings Inc. involving 7189.000000 shares for an estimated $0.00. Reported holdings after the transaction were 0.000000 shares. A 10b5-1 reference was not detected in the stored filing text.

exerciseSEC transaction code MDIR
LPLALPL Financial Holdings Inc.
Trade date
Aug 20, 2026
Filing date
Aug 21, 2026
View on SEC Insider profile
Estimated value$0Shares × reported price
Shares traded7.18k$0.00 per share
Holdings after0Direct
% of reported position tradedUnavailableThis security and ownership context
How reported position traded is calculated

Not calculated for derivative securities.

Row-level estimate for this security and ownership context, not the insider’s complete portfolio. Joint ownership, other transactions in the filing, amendments and footnotes can affect interpretation.

LPLA price since this filing

Daily closing prices, with the filing date and available return windows
LPLA · Daily closing priceLoading daily prices…
Filing dateReturn windows appear as prices become available.
Pre-filing1mo ago -9.2%1w ago +3.8%1d ago -0.6%
Returns since7d +2.6%30d -9.2%90d180d1y

Transaction facts

Stored Form 4 columns with their raw values

Derivative
Type
exercise
Code M
Identifier
0001628280-26-058423
Option to purchase Common Stock
Transaction date
Aug 20, 2026
Filed Aug 21, 2026, 08:08 PM · 1d delay
Shares
7,189 sh
$0.00 per share
Estimated value
$0
Computed from shares × price
Holdings after
0 sh
Direct

Filing signal explanations

Badges describe filing facts only — not predictions.

Cluster 14dRepeat 30dPattern $100kLarge $1.00M
Derivative Transaction Direct Ownership
Filing-only score

-6 points

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

Mixed or weak signal

This filing has a negative filing-only score. It may be less informative as an insider-activity signal and needs extra context.

How this score is calculated
  • direct_ownership+6 points

    direct_or_indirect_ownership = D

    Direct ownership reports the insider's personal stake.
  • timely_filing+4 points

    reporting_delay_days = 1

    Filing reported within two business days of the transaction.
  • derivative_transaction-16 points

    is_derivative = true

    Derivative exercise rows are less discretionary than open-market purchases.
Read the scoring methodology

Signed filing-only points, not a probability or expected return. Version v1.

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
Related transactions

0 other transactions

Same SEC filing
Recent company activity

0 recent txs

LPLA