LPL Financial holder plans 13,515-share sale

A shareholder has submitted a notice under Rule 144 to sell up to 13,515 shares of LPL Financial LLC common stock on or after August 13, 2026 on Nasdaq.

Rhea-AI Filing Summary

A shareholder has submitted a notice under Rule 144 to sell up to 13,515 shares of LPL Financial LLC common stock on or after August 13, 2026 on Nasdaq. The shares were acquired through restricted stock vesting between 2004 and 2016, including 4,832 shares vested on January 25, 2007.

Key Figures

Shares to be sold: 13,515 shares Aggregate value of shares: 2,190,781.5 Shares outstanding context: 67,465,967 +2 more

5 metrics

Shares to be sold 13,515 shares Planned sale of LPL Financial LLC common stock under Rule 144

Aggregate value of shares 2,190,781.5 Reported aggregate value for 13,515 shares to be sold

Shares outstanding context 67,465,967 Context figure listed with the Rule 144 sale information

Restricted stock vested 01/25/2007 4,832 shares Common stock acquired via restricted stock vesting on January 25, 2007

Restricted stock vested 03/02/2016 2,018 shares Common stock acquired via restricted stock vesting on March 2, 2016

Key Terms

Rule 144, Restricted Stock Vesting, Common Stock

3 terms

Rule 144 regulatory

"A shareholder has submitted a notice under Rule 144 to sell up to"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Restricted Stock Vesting financial

"Common Stock | 03/02/2016 | Restricted Stock Vesting | Issuer |"

Restricted stock vesting is the timetable and conditions under which shares granted to employees or insiders become fully owned and can be sold, typically requiring continued work or meeting performance goals. It matters to investors because large blocks of shares can become tradable at once, which can change share supply and price, and because vesting aligns insiders’ incentives with the company’s long‑term performance—think of it like a timed unlock that both rewards and locks in key people.

Common Stock financial

"Common Stock | LPL Financial LLC 1055 LPL Way Fort Mill"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Rule 144 notice disclose for WTFC regarding LPL Financial stock?

The notice discloses a plan to sell up to 13,515 shares of LPL Financial LLC common stock on or after August 13, 2026 under Rule 144, with trading expected on Nasdaq.

How many LPL Financial common shares are planned for sale under Rule 144?

The holder plans to sell up to 13,515 shares of LPL Financial LLC common stock. The planned sale is expected to occur on or after August 13, 2026 on Nasdaq, subject to Rule 144 conditions.

What is the reported aggregate value of the LPL Financial shares to be sold?

The shares to be sold have a reported aggregate value of 2,190,781.5. This value relates to the planned sale of 13,515 shares of LPL Financial LLC common stock under Rule 144 on or after August 13, 2026.

How were the LPL Financial shares in this WTFC-related Rule 144 notice acquired?

The LPL Financial shares were acquired through restricted stock vesting from the issuer. Vesting dates range from January 21, 2004 to March 2, 2016, including blocks of 2,018, 919, 1,951, 2,687, 4,832, and 1,108 shares.

On which market are the LPL Financial shares in the Rule 144 plan expected to trade?

The shares covered by the Rule 144 plan are expected to trade on Nasdaq. The planned sale involves 13,515 shares of LPL Financial LLC common stock, with an indicated sale date of August 13, 2026.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/13/2026 - 10:34 AM Accepted by SEC EDGAR 08/13/2026 - 10:34 AM Learn about SEC filing dates

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	0001244276
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	WINTRUST FINANCIAL CORP
SEC File Number	001-35077
Address of Issuer	9700 WEST HIGGINS ROAD, 8TH FLOOR ROSEMONT ILLINOIS 60018
Phone	8479399000
Name of Person for Whose Account the Securities are To Be Sold	DAVID A DYKSTRA
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	OFFICER

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 Stock	LPL Financial LLC 1055 LPL Way Fort Mill SC 29716	13515	2190781.5	67465967	08/13/2026	Nasdaq

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 Stock	03/02/2016	Restricted Stock Vesting	Issuer			2018	03/02/2016	Compensation
Common Stock	01/22/2016	Restricted Stock Vesting	Issuer			919	01/22/2016	Compensation
Common Stock	01/22/2015	Restricted Stock Vesting	Issuer			1951	01/22/2015	Compensation
Common Stock	01/26/2007	Restricted Stock Vesting	Issuer			2687	01/26/2007	Compensation
Common Stock	01/25/2007	Restricted Stock Vesting	Issuer			4832	01/25/2007	Compensation
Common Stock	01/21/2004	Restricted Stock Vesting	Issuer			1108	01/21/2004	Compensation

* 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

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	08/13/2026
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	/s/DAVID A DYKSTRA
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)