SEC Form 4 · accession 0001628280-26-043263
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Greg Gates
Officer — Group Managing Director
Period of report
Jun 12, 2026
Accepted (ET)
Jun 15, 2026 · 4:45 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001397911
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 12, 2026 | F | 232 | $295.66 | D | 20,532 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 12,737 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.
Remarks
The signatory is signing on behalf of Greg Gates pursuant to a Power of Attorney dated December 17, 2024.