Cole G Carter (CXW) files to sell 12,500 LPL Financial shares

Rhea-AI Filing Summary

Cole G Carter filed to sell common stock of LPL Financial. The planned sale covers 12,500 shares of common stock listed on the NYSE, with an aggregate market value of $370,125.00, based on 98,890,000 shares outstanding. The filing references a prior RSU vesting of 73,953 shares on March 6, 2024, and reports sales of 12,500 shares each on May 1, June 1, and July 1, 2026.

Key Figures

Planned shares to be sold: 12,500 shares Aggregate market value of planned sale: $370,125.00 Shares outstanding: 98,890,000 shares +4 more

7 metrics

Planned shares to be sold 12,500 shares Common stock of LPL Financial covered by the Form 144

Aggregate market value of planned sale $370,125.00 Total market value for the 12,500 shares to be sold

Shares outstanding 98,890,000 shares LPL Financial common shares outstanding used as reference

RSU vesting shares 73,953 shares Shares associated with RSU vesting on March 6, 2024

Sale on May 1, 2026 12,500 shares; $257,680.00 Common stock sold by Cole G Carter

Sale on June 1, 2026 12,500 shares; $262,017.00 Common stock sold by Cole G Carter

Sale on July 1, 2026 12,500 shares; $380,047.00 Common stock sold by Cole G Carter

Key Terms

RSU Vesting, Securities To Be Sold, Securities Sold During The Past 3 Months

3 terms

RSU Vesting financial

"Common | 03/06/2024 | RSU Vesting | Issuer"

RSU vesting is the process by which restricted stock units — a promise by a company to give shares to an employee — become actual, owned shares over time or when certain goals are met. Investors care because vested shares can dilute existing ownership when issued, and the timing of vesting affects when employees can sell shares, which can influence share supply, insider selling patterns, and company incentives.

Securities To Be Sold regulatory

"144: Securities To Be Sold"

Securities Sold During The Past 3 Months regulatory

"144: Securities Sold During The Past 3 Months"

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Available on EDGAR 07/31/2026 - 03:46 PM Accepted by SEC EDGAR 07/31/2026 - 03:45 PM Learn about SEC filing dates

FAQ

What does the Form 144 filing related to CXW disclose about planned stock sales?

The filing shows Cole G Carter plans to sell 12,500 shares of LPL Financial common stock. The planned sale has an aggregate market value of $370,125.00, based on the issuer’s reported 98,890,000 shares outstanding.

How many LPL Financial shares did Cole G Carter previously sell according to the CXW-related filing?

The filing lists three prior sales of 12,500 shares each. These occurred on May 1, 2026, June 1, 2026, and July 1, 2026, with aggregate sale values of $257,680.00, $262,017.00, and $380,047.00, respectively.

What prior equity award activity is referenced in the CXW Form 144 content?

The disclosure notes an RSU vesting event on March 6, 2024. On that date, 73,953 shares of common stock were associated with the RSU vesting, providing context for the holder’s current and past share transactions.

What is the aggregate market value of the shares Cole G Carter plans to sell?

The planned sale of 12,500 shares of LPL Financial common stock has an aggregate market value of $370,125.00. This value is calculated for the Form 144 disclosure and is tied to the issuer’s 98,890,000 shares outstanding.

On which exchange are the shares in the CXW-related Form 144 listed?

The common stock referenced in the filing is listed on the NYSE. The Form 144 identifies the security as common stock of LPL Financial, traded on the New York Stock Exchange.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	LPL Financial 4707 Executive Way San Diego CA 92121	12500	370125.00	98890000	08/03/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	03/06/2024	RSU Vesting	Issuer			73953	03/06/2024	NA

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Cole G Carter 5501 Virginia Way Brentwood TN 37027	Common	05/01/2026	12500	257680.00
Cole G Carter 5501 Virginia Way Brentwood TN 37027	Common	06/01/2026	12500	262017.00
Cole G Carter 5501 Virginia Way Brentwood TN 37027	Common	07/01/2026	12500	380047.00

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)