Welcome to our dedicated page for Lpl Financial SEC filings (Ticker: LPLA), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
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LPL Financial Holdings Inc. (LPLA) filed a Form 144 indicating that insider Gregory S. Gates plans to sell 1,500 common shares through Fidelity Brokerage on or after 08/05/2025. At the reference price used in the filing, the transaction is valued at 鈮� $561 K. The shares originate from restricted-stock vesting events in June 2021 (432 sh) and December 2021 (1,068 sh).
Gates has already sold 3,000 shares in the past three months for gross proceeds of 鈮� $1.14 M. Including the proposed sale, total dispositions during the Rule 144 rolling window will reach 4,500 shares, representing <0.006 % of the 80.0 M shares outstanding. No additional financial or operational data were disclosed.
The filing is routine; the small size relative to float suggests minimal market impact and does not alter the company鈥檚 fundamentals or insider-ownership profile.
LPL Financial Holdings Inc. (LPLA) filed a Form 144 disclosing a proposed sale of 1,500 common shares by insider Gregory Gates. The shares carry an aggregate market value of $573,947.49, based on prices prevailing at the time of filing. The transaction is scheduled for 07 July 2025 through broker Fidelity Brokerage Services LLC on the NASDAQ exchange.
The shares were originally acquired on 11 December 2021 via restricted-stock vesting classified as compensation. Gates has already sold an identical block of 1,500 shares on 05 June 2025, realizing gross proceeds of $568,299.99. LPLA reports 79,975,719 shares outstanding, making the proposed sale approximately 0.0019 % of shares in circulation鈥攊mmaterial from a float-supply perspective.
Form 144 contains the customary representation that the seller is not in possession of undisclosed material information. No reference is made to a Rule 10b5-1 trading plan, and no adverse operational data accompanies the notice. Overall, the filing signals routine personal liquidity management rather than a strategic shift by the company or its leadership.
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