Last 12 months
Inside the activity.
0 purchase rows · 48 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 8 |
| Dec 2025 | 0 | 13 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 9 |
| Mar 2026 | 0 | 3 |
| Apr 2026 | 0 | 6 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 1 |
| Jul 2026 | 0 | 5 |
| Aug 2026 | 0 | 2 |
| Sep 2026 | 0 | 1 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 24, 2021 Filed Feb 25, 2021 22:17 UTC |
Audette Matthew JChief Financial Officer
|
SaleCommon Stock | 8,847 | $134.94 | $1,193,814.18 |
DisclosureSEC source: 0001397911-21-000033 · wf-form4_161429137690454.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,126 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 10, 2020. F3 · balance_after: Consists of (i) 5,559 shares of Common Stock; (ii) 2,866 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iii) 4,701 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| February 24, 2021 Filed Feb 25, 2021 22:53 UTC |
Seese ScottManaging Director
|
SaleCommon Stock | 4,661 | $134.94 | $628,955.34 |
DisclosureSEC source: 0001397911-21-000043 · wf-form4_161429358458627.xml · nonDerivative · entry 3 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,860 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2020. F3 · balance_after: Consists of (i) 17,767 shares of Common Stock; (ii) 2,729 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iii) 4,364 the restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022, and February 25, 2023. Read SEC document |
| February 24, 2021 Filed Feb 25, 2021 22:40 UTC |
Oroschakoff MichelleManaging Director
|
SaleCommon Stock | 513 | $134.94 | $69,224.22 |
DisclosureSEC source: 0001397911-21-000041 · wf-form4_161429279617458.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,725.1482 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. F3 · balance_after: Consists of (i) 18,962.15 shares of Common Stock; (ii) 1,706 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iii) 3,057 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| February 24, 2021 Filed Feb 25, 2021 22:34 UTC |
Larsen Sallie R.Managing Director
|
SaleCommon Stock | 4,489 | $134.94 | $605,745.66 |
DisclosureSEC source: 0001397911-21-000039 · wf-form4_161429246013421.xml · nonDerivative · entry 3 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,691 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 10, 2020. F3 · balance_after: Consists of (i) 13,118 shares of Common Stock; (ii) 1,296 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iii) 2,277 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| February 24, 2021 Filed Feb 25, 2021 22:29 UTC |
Kalbaugh John AndrewManaging Director
|
SaleCommon Stock | 4,669 | $134.94 | $630,034.86 |
DisclosureSEC source: 0001397911-21-000037 · wf-form4_161429212161206.xml · nonDerivative · entry 5 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,543 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2020. F4 · balance_after: Consists of (i) 22,390 shares of Common Stock; (ii) 1,632 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iii) 2,521 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 17:09 UTC |
Arnold Dan H.Director · President & CEO
|
Tax withholdingCommon Stock | 24,876 | $135.41 | $3,368,459.16 |
DisclosureSEC source: 0001397911-21-000031 · wf-form4_161429094003247.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,414.94 Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 17:09 UTC |
Arnold Dan H.Director · President & CEO
|
GrantCommon Stock | 50,170 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000031 · wf-form4_161429094003247.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,290.94 F1 · shares: Represents shares of Common Stock received upon vesting of performance share units ("PSUs") that were granted on February 23, 2018. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2020. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:17 UTC |
Audette Matthew JChief Financial Officer
|
Tax withholdingCommon Stock | 6,544 | $135.41 | $886,123.04 |
DisclosureSEC source: 0001397911-21-000033 · wf-form4_161429137690454.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,973 Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:17 UTC |
Audette Matthew JChief Financial Officer
|
GrantCommon Stock | 13,682 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000033 · wf-form4_161429137690454.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,517 F1 · shares: Represents shares of Common Stock received upon vesting of performance share units ("PSUs") that were granted on February 23, 2018. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2020. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:59 UTC |
White George BurtonManaging Director
|
Tax withholdingCommon Stock | 3,162 | $135.41 | $428,166.42 |
DisclosureSEC source: 0001397911-21-000045 · wf-form4_161429392987850.xml · nonDerivative · entry 2 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,350 F2 · balance_after: Consists of (i) 31,421 shares of Common Stock; (ii) 1,978 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iii) 2,951 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:59 UTC |
White George BurtonManaging Director
|
GrantCommon Stock | 8,144 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000045 · wf-form4_161429392987850.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,512 F1 · shares: Represents shares of Common Stock received upon vesting of performance share units ("PSUs") that were granted on February 23, 2018. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2020. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:53 UTC |
Seese ScottManaging Director
|
Tax withholdingCommon Stock | 4,691 | $135.41 | $635,208.31 |
DisclosureSEC source: 0001397911-21-000043 · wf-form4_161429358458627.xml · nonDerivative · entry 2 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,521 Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:53 UTC |
Seese ScottManaging Director
|
GrantCommon Stock | 11,076 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000043 · wf-form4_161429358458627.xml · nonDerivative · entry 1 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,212 F1 · shares: Represents shares of Common Stock received upon vesting of performance share units ("PSUs") that were granted on February 23, 2018. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2020. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:40 UTC |
Oroschakoff MichelleManaging Director
|
Tax withholdingCommon Stock | 3,763 | $135.41 | $509,547.83 |
DisclosureSEC source: 0001397911-21-000041 · wf-form4_161429279617458.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,238.1482 Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:40 UTC |
Oroschakoff MichelleManaging Director
|
GrantCommon Stock | 8,144 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000041 · wf-form4_161429279617458.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,001.1482 F1 · shares: Represents shares of Common Stock received upon vesting of performance share units ("PSUs") that were granted on February 23, 2018. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2020. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:34 UTC |
Larsen Sallie R.Managing Director
|
Tax withholdingCommon Stock | 2,399 | $135.41 | $324,848.59 |
DisclosureSEC source: 0001397911-21-000039 · wf-form4_161429246013421.xml · nonDerivative · entry 2 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,180 Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:34 UTC |
Larsen Sallie R.Managing Director
|
GrantCommon Stock | 6,124 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000039 · wf-form4_161429246013421.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,579 F1 · shares: Represents shares of Common Stock received upon vesting of performance share units ("PSUs") that were granted on February 23, 2018. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2020. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:29 UTC |
Kalbaugh John AndrewManaging Director
|
Exercise / conversionOption to purchase Common Stock · Derivative | 8,745 | $0.00 Strike: $65.50 | $0.00 |
DisclosureSEC source: 0001397911-21-000037 · wf-form4_161429212161206.xml · derivative · entry 6 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,745 shares Expires 2028-02-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2020. F5 · derivative.exercise_date: This option became exercisable in three installments, beginning February 23, 2019, which was the first anniversary of the date on which it was granted, the option became fully vested on February 23, 2021. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:29 UTC |
Kalbaugh John AndrewManaging Director
|
Tax withholdingCommon Stock | 3,810 | $135.41 | $515,912.10 |
DisclosureSEC source: 0001397911-21-000037 · wf-form4_161429212161206.xml · nonDerivative · entry 4 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,212 Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:29 UTC |
Kalbaugh John AndrewManaging Director
|
GrantCommon Stock | 7,538 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000037 · wf-form4_161429212161206.xml · nonDerivative · entry 3 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,022 F3 · shares: Represents shares of Common Stock received upon vesting of performance share units ("PSUs") that were granted on February 23, 2018. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2020. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:29 UTC |
Kalbaugh John AndrewManaging Director
|
SaleCommon Stock | 8,745 | $132.64 | $1,159,936.80 |
DisclosureSEC source: 0001397911-21-000037 · wf-form4_161429212161206.xml · nonDerivative · entry 2 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,484 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2020. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:29 UTC |
Kalbaugh John AndrewManaging Director
|
Exercise / conversionCommon Stock | 8,745 | $65.50 | $572,797.50 |
DisclosureSEC source: 0001397911-21-000037 · wf-form4_161429212161206.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2020. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:22 UTC |
Enyedi MatthewManaging Director
|
Tax withholdingCommon Stock | 134 | $135.41 | $18,144.94 |
DisclosureSEC source: 0001397911-21-000035 · wf-form4_161429167612207.xml · nonDerivative · entry 1 Enyedi Matthew · CIK 0001798805 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,109 F1 · balance_after: Consists of (i) 1,165 shares of Common Stock; (ii) 836 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iii) 2,108 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| February 16, 2021 Filed Feb 17, 2021 18:11 UTC |
Arnold Dan H.Director · President & CEO
|
SaleCommon Stock | 7,974 | $130.86 | $1,043,477.64 |
DisclosureSEC source: 0001397911-21-000018 · wf-form4_161360345178119.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 194,120.94 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.67 to $131.51, 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. F3 · balance_after: Consists of (i) 166,636.94 shares of Common Stock; (ii) 12,937 restricted stock units that vest in full on February 13, 2022; and (iii) 14,547 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| February 16, 2021 Filed Feb 17, 2021 23:34 UTC |
Simonich BrentEVP, CAO and Treasurer
|
PurchaseCommon Stock | 1,909 | $131.00 | $250,079.00 |
DisclosureSEC source: 0001397911-21-000024 · wf-form4_161360481971490.xml · nonDerivative · entry 1 Simonich Brent · CIK 0001644152 · EVP, CAO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,909 Read SEC document |
| February 13, 2021 Filed Feb 17, 2021 18:11 UTC |
Arnold Dan H.Director · President & CEO
|
Tax withholdingCommon Stock | 4,962 | $130.24 | $646,250.88 |
DisclosureSEC source: 0001397911-21-000018 · wf-form4_161360345178119.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,094.94 Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 23:18 UTC |
Oroschakoff MichelleManaging Director
|
Exercise / conversionOption to purchase Common Stock · Derivative | 198 | $0.00 Strike: $48.09 | $0.00 |
DisclosureSEC source: 0001397911-21-000020 · wf-form4_161360387455981.xml · derivative · entry 5 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,715 Underlying: Common Stock · 198 shares Expires 2024-09-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock options exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. F5 · derivative.exercise_date: This option became exercisable in four installments, beginning September 3, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2018. Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 23:18 UTC |
Oroschakoff MichelleManaging Director
|
Exercise / conversionOption to purchase Common Stock · Derivative | 3,802 | $0.00 Strike: $54.81 | $0.00 |
DisclosureSEC source: 0001397911-21-000020 · wf-form4_161360387455981.xml · derivative · entry 4 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,802 shares Expires 2024-02-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock options exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. F4 · derivative.exercise_date: This option became exercisable in three installments, beginning February 24, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on February 24, 2017. Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 23:18 UTC |
Oroschakoff MichelleManaging Director
|
SaleCommon Stock | 4,000 | $128.16 | $512,640.00 |
DisclosureSEC source: 0001397911-21-000020 · wf-form4_161360387455981.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,857.1482 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. F3 · balance_after: Consists of (i) 14,076.15 shares of Common Stock; (ii) 1,018 restricted stock units that vest in full on February 23, 2021; (iii) 1,706 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 3,057 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 23:18 UTC |
Oroschakoff MichelleManaging Director
|
Exercise / conversionCommon Stock | 198 | $48.09 | $9,521.82 |
DisclosureSEC source: 0001397911-21-000020 · wf-form4_161360387455981.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,857.1482 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock options exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 23:18 UTC |
Oroschakoff MichelleManaging Director
|
Exercise / conversionCommon Stock | 3,802 | $54.81 | $208,387.62 |
DisclosureSEC source: 0001397911-21-000020 · wf-form4_161360387455981.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,659.1482 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock options exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 23:15 UTC |
Kalbaugh John AndrewManaging Director
|
Exercise / conversionOption to purchase Common Stock · Derivative | 12,476 | $0.00 Strike: $54.81 | $0.00 |
DisclosureSEC source: 0001397911-21-000011 · wf-form4_161317170023480.xml · derivative · entry 6 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,476 shares Expires 2024-02-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2020. F8 · derivative.exercise_date: This option became exercisable in three installments, beginning February 24, 2015, which was the first anniversary of the date on which it was granted, The option became fully vested on February 24, 2017. Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 23:15 UTC |
Kalbaugh John AndrewManaging Director
|
SaleCommon Stock | 8,184 | $128.31 | $1,050,089.04 |
DisclosureSEC source: 0001397911-21-000011 · wf-form4_161317170023480.xml · nonDerivative · entry 5 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,484 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2020. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $128.065 to $128.72, 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. F7 · balance_after: Consists of (i) 22,390 shares of Common Stock; (ii) 941 restricted stock units that vest in full on February 23, 2021; (iii) 1,632 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 2,521 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 23:15 UTC |
Kalbaugh John AndrewManaging Director
|
SaleCommon Stock | 7,499 | $127.45 | $955,747.55 |
DisclosureSEC source: 0001397911-21-000011 · wf-form4_161317170023480.xml · nonDerivative · entry 4 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,668 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2020. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $127.055 to $128.045, 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. Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 23:15 UTC |
Kalbaugh John AndrewManaging Director
|
SaleCommon Stock | 2,301 | $126.68 | $291,490.68 |
DisclosureSEC source: 0001397911-21-000011 · wf-form4_161317170023480.xml · nonDerivative · entry 3 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,167 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2020. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.055 to $127.05, 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 (4) to this Form 4. Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 23:15 UTC |
Kalbaugh John AndrewManaging Director
|
Exercise / conversionCommon Stock | 12,476 | $54.81 | $683,809.56 |
DisclosureSEC source: 0001397911-21-000011 · wf-form4_161317170023480.xml · nonDerivative · entry 2 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,468 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2020. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 21:43 UTC |
Enyedi MatthewManaging Director
|
Exercise / conversionOption to purchase Common Stock · Derivative | 1,473 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-21-000007 · wf-form4_161307976049573.xml · derivative · entry 3 Enyedi Matthew · CIK 0001798805 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,473 shares Expires 2026-02-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: This option became exercisable in three equal installments, beginning on February 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February, 25, 2019. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 21:43 UTC |
Enyedi MatthewManaging Director
|
SaleCommon Stock | 1,473 | $124.89 | $183,962.97 |
DisclosureSEC source: 0001397911-21-000007 · wf-form4_161307976049573.xml · nonDerivative · entry 2 Enyedi Matthew · CIK 0001798805 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,243 F1 · balance_after: Consists of (i) 914 shares of Common Stock; (ii) 385 restricted stock units that vest in full on February 23, 2021; (iii) 836 restricted stock units that vest ratably on February 25, 2021 and February 25, 2022; and (iv) 2,108 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 21:43 UTC |
Enyedi MatthewManaging Director
|
Exercise / conversionCommon Stock | 1,473 | $19.85 | $29,239.05 |
DisclosureSEC source: 0001397911-21-000007 · wf-form4_161307976049573.xml · nonDerivative · entry 1 Enyedi Matthew · CIK 0001798805 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,716 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 11, 2020 Filed Feb 12, 2021 18:08 UTC |
Arnold Dan H.Director · President & CEO
|
GiftCommon Stock | 5,102 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000009 · wf-form5_161317126738976.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,056.94 F1 · kind: This transaction was a charitable gift of securities by the reporting person. F2 · balance_after: Consists of (i) 166,636.94 shares of Common Stock; (ii) 25,873 restricted stock units that vest ratably on each of February 13, 2021 and February 13, 2022; and (iii) 14,547 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| December 11, 2020 Filed Feb 12, 2021 23:15 UTC |
Kalbaugh John AndrewManaging Director
|
GiftCommon Stock | 3,048 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000011 · wf-form4_161317170023480.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,992 F1 · kind: This transaction was a charitable gift of securities by the reporting person. Read SEC document |
| December 03, 2020 Filed Dec 4, 2020 21:49 UTC |
White George BurtonManaging Director
|
Exercise / conversionOption to purchase Common Stock · Derivative | 860 | $0.00 Strike: $34.61 | $0.00 |
DisclosureSEC source: 0001397911-20-000223 · wf-form4_160711853739002.xml · derivative · entry 2 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 860 shares Expires 2020-12-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: This option became exercisable in five installments, beginning December 22, 2011, which was the first anniversary of the date on which it was granted. The option became fully vested on December 22, 2015. Read SEC document |
| December 03, 2020 Filed Dec 4, 2020 21:49 UTC |
White George BurtonManaging Director
|
Exercise / conversionCommon Stock | 860 | $34.61 | $29,764.60 |
DisclosureSEC source: 0001397911-20-000223 · wf-form4_160711853739002.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,368 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Consists of (i) 25,421 shares of Common Stock; (ii) 1,018 restricted stock units that vest in full on February 23, 2021; (iii) 1,978 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 2,951 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| November 30, 2020 Filed Dec 3, 2020 02:03 UTC |
EBERHART PAULETTDirector
|
GrantCommon Stock | 7 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000216 · wf-form4_160696098450229.xml · nonDerivative · entry 2 EBERHART PAULETT · CIK 0001179702 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,124 F2 · shares: Represents stock units granted under the 2010 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| November 30, 2020 Filed Dec 3, 2020 02:03 UTC |
EBERHART PAULETTDirector
|
GrantCommon Stock | 7 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000216 · wf-form4_160696098450229.xml · nonDerivative · entry 1 EBERHART PAULETT · CIK 0001179702 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,117 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 4, 2021. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 4, 2021. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| November 30, 2020 Filed Dec 3, 2020 02:11 UTC |
Putnam James SDirector
|
GrantCommon Stock | 29 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000219 · wf-form4_160696145305563.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,419.5 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| November 30, 2020 Filed Dec 3, 2020 02:06 UTC |
Glavin William Francis JrDirector
|
GrantCommon Stock | 34 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000217 · wf-form4_160696119864563.xml · nonDerivative · entry 2 Glavin William Francis Jr · CIK 0001298173 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,751 F2 · shares: Represents stock units granted under the 2010 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| November 30, 2020 Filed Dec 3, 2020 02:06 UTC |
Glavin William Francis JrDirector
|
GrantCommon Stock | 7 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000217 · wf-form4_160696119864563.xml · nonDerivative · entry 1 Glavin William Francis Jr · CIK 0001298173 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,717 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 4, 2021. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 4, 2021. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| November 30, 2020 Filed Dec 3, 2020 02:14 UTC |
SCHIFTER RICHARD PDirector
|
GrantCommon Stock | 49 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000220 · wf-form4_160696158899474.xml · nonDerivative · entry 2 SCHIFTER RICHARD P · CIK 0001249554 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,200.8345 F2 · shares: Represents stock units granted under the 2010 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| November 30, 2020 Filed Dec 3, 2020 02:14 UTC |
SCHIFTER RICHARD PDirector
|
GrantCommon Stock | 7 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000220 · wf-form4_160696158899474.xml · nonDerivative · entry 1 SCHIFTER RICHARD P · CIK 0001249554 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,151.8345 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 4, 2021. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 4, 2021. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.