Gates Greg's Form 4 filing
LPL Financial Holdings Inc. (LPLA) · filed Sep 9, 2025
- Accession no.
- 0001397911-25-000147
- Filed
- Sep 9, 2025
- Trade date
- Sep 5, 2025
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 18 non-derivative transactions. Open-market sales total $507.3K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Gates GregCIK 0001877100 | Officer (Group Managing Director) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 5, 2025 | Common Stock | SSaleDisposed | −91 | $329.17F2 | −$29,954.47 | 19,029 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −11 | $330.12F3 | −$3,631.32 | 19,018 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −79 | $331.83F4 | −$26,214.57 | 18,939 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −326 | $332.90F5 | −$108,525.4 | 18,613 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −28 | $334.53 | −$9,366.84 | 18,585 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −72 | $335.84F6 | −$24,180.48 | 18,513 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −128 | $337.13F7 | −$43,152.64 | 18,385 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −25 | $337.58 | −$8,439.5 | 18,360 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −121 | $340.01F8 | −$41,141.21 | 18,239 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −190 | $340.83F9 | −$64,757.7 | 18,049 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −79 | $341.89F10 | −$27,009.31 | 17,970 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −47 | $342.88F11 | −$16,115.36 | 17,923 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −150 | $343.98F12 | −$51,597 | 17,773 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −3 | $344.67F13 | −$1,034.01 | 17,770 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −1 | $345.44 | −$345.44 | 17,769 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −106 | $347.46F14 | −$36,830.76 | 17,663 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −11 | $348.04F15 | −$3,828.44 | 17,652 | Direct | |
| Sep 5, 2025 | Common Stock | SSaleDisposed | −32 | $349.60F16 | −$11,187.2 | 17,620 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $328.80 to $329.62, 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.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $330.08 to $330.18, 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.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $331.22 to $332.15, 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.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $332.36 to $333.34, 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.
Referenced by the price of 1 transaction in Table I.
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $335.57 to $336.37, 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.
Referenced by the price of 1 transaction in Table I.
- F7
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $336.58 to $337.55, 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 (7) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F8
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $339.32 to $340.31, 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 (8) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F9
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $340.39 to $341.38, 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 (9) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F10
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $341.42 to $342.41, 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 (10) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F11
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $342.43 to $343.42, 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 (11) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F12
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $343.434 to $344.430, 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 (12) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F13
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $344.43 to $345.15, 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 (13) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F14
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $346.81 to $347.68, 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 (14) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F15
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $347.97 to $348.05, 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 (15) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F16
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $349.18 to $349.86, 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 (16) to this Form 4.
Referenced by the price of 1 transaction in Table I.
Remarks
The signatory is signing on behalf of Greg Gates pursuant to a Power of Attorney dated December 17, 2024.