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 26, 2019 Filed Feb 26, 2019 21:24 UTC |
Arnold Dan H.Director · President & CEO
|
Exercise / conversionCommon Stock | 6,198 | $32.26 | $199,947.48 |
DisclosureSEC source: 0001397911-19-000019 · wf-form4_155123424733018.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 235,958.94 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 June 1, 2018. Read SEC document |
| February 26, 2019 Filed Feb 26, 2019 21:24 UTC |
Arnold Dan H.Director · President & CEO
|
GiftCommon Stock | 3,226 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000019 · wf-form4_155123424733018.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,760.94 F1 · kind: The charitable gift reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2018. Read SEC document |
| February 26, 2019 Filed Feb 27, 2019 02:44 UTC |
Oroschakoff MichelleManaging Director
|
Exercise / conversionOption to purchase Common Stock · Derivative | 6,000 | $0.00 Strike: $36.88 | $0.00 |
DisclosureSEC source: 0001397911-19-000025 · wf-form4_155123546456000.xml · derivative · entry 5 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,734 Underlying: Common Stock · 6,000 shares Expires 2023-09-03 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. 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 June 5, 2018. F7 · derivative.exercise_date: This option became exercisable in four installments, beginning September 3, 2014, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2017. Read SEC document |
| February 26, 2019 Filed Feb 27, 2019 02:44 UTC |
Oroschakoff MichelleManaging Director
|
SaleCommon Stock | 11,593 | $77.11 | $893,936.23 |
DisclosureSEC source: 0001397911-19-000025 · wf-form4_155123546456000.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,777.1482 F3 · 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 5, 2018. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.73 to $77.68, 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 ranges set forth in this footnote (4) to this Form 4. F5 · balance_after: Consists of (i) 3,755.1482 shares of Common Stock; (ii) 2,427 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 26, 2019 Filed Feb 27, 2019 02:44 UTC |
Oroschakoff MichelleManaging Director
|
Exercise / conversionCommon Stock | 6,000 | $36.88 | $221,280.00 |
DisclosureSEC source: 0001397911-19-000025 · wf-form4_155123546456000.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,370.1482 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. 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 June 5, 2018. Read SEC document |
| February 26, 2019 Filed Feb 27, 2019 02:31 UTC |
Calder TracyManaging Director
|
SaleCommon Stock | 10,747 | $77.34 | $831,172.98 |
DisclosureSEC source: 0001397911-19-000021 · wf-form4_155123468398816.xml · nonDerivative · entry 4 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,462 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.85 to $77.76, 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 ranges set forth in this footnote (2) to this Form 4. F3 · balance_after: Consists of (i) 6,246 shares of Common Stock; (ii) 1,608 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; (iii) 1,042 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2019 Filed Feb 26, 2019 21:35 UTC |
Gooley ThomasManaging Director
|
Tax withholdingCommon Stock | 2,451 | $77.53 | $190,026.03 |
DisclosureSEC source: 0001397911-19-000022 · wf-form4_155123493023724.xml · nonDerivative · entry 2 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,275 F1 · balance_after: Consists of (i) 11,061 shares of Common Stock; (ii) 976 restricted stock units that vest in full on June 13, 2019; (iii) 3,958 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (iv) 2,280 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021. Read SEC document |
| February 25, 2019 Filed Feb 26, 2019 21:24 UTC |
Arnold Dan H.Director · President & CEO
|
GrantOption to purchase Common Stock · Derivative | 68,820 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000019 · wf-form4_155123424733018.xml · derivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,820 Underlying: Common Stock · 68,820 shares Expires 2029-02-25 F6 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:25 UTC |
Audette Matthew JChief Financial Officer
|
GrantOption to purchase Common Stock · Derivative | 12,903 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000020 · wf-form4_155123434155626.xml · derivative · entry 4 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,903 Underlying: Common Stock · 12,903 shares Expires 2029-02-25 F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:25 UTC |
Audette Matthew JChief Financial Officer
|
GrantCommon Stock | 4,299 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000020 · wf-form4_155123434155626.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,252 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 21,256 shares of Common Stock; (ii) 5,277 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; (iii) 3,420 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:25 UTC |
Audette Matthew JChief Financial Officer
|
Tax withholdingCommon Stock | 2,405 | $77.53 | $186,459.65 |
DisclosureSEC source: 0001397911-19-000020 · wf-form4_155123434155626.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,953 Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:50 UTC |
White George BurtonManaging Director
|
GrantOption to purchase Common Stock · Derivative | 8,909 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000028 · wf-form4_155123580309810.xml · derivative · entry 4 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,909 Underlying: Common Stock · 8,909 shares Expires 2029-02-25 F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:50 UTC |
White George BurtonManaging Director
|
GrantCommon Stock | 2,968 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000028 · wf-form4_155123580309810.xml · nonDerivative · entry 3 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,513 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 21,475 shares of Common Stock; (ii) 3,034 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:50 UTC |
White George BurtonManaging Director
|
Tax withholdingCommon Stock | 2,672 | $77.53 | $207,160.16 |
DisclosureSEC source: 0001397911-19-000028 · wf-form4_155123580309810.xml · nonDerivative · entry 2 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,545 Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:48 UTC |
Steinmeier RichardManaging Director
|
GrantOption to purchase Common Stock · Derivative | 7,355 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000027 · wf-form4_155123570963654.xml · derivative · entry 2 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,355 Underlying: Common Stock · 7,355 shares Expires 2029-02-25 F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:48 UTC |
Steinmeier RichardManaging Director
|
GrantCommon Stock | 2,450 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000027 · wf-form4_155123570963654.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,593 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on February 25, 2020, February 25, 2021 and February 25, 2022. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 30,143 restricted stock units that vest ratably on each of September 7, 2019, September 7, 2020, September 7, 2021 and September 7, 2022; and (ii) the restricted stock units reported in this Form 4. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:47 UTC |
Seese ScottManaging Director
|
GrantOption to purchase Common Stock · Derivative | 12,289 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000026 · wf-form4_155123561438698.xml · derivative · entry 3 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,289 Underlying: Common Stock · 12,289 shares Expires 2029-02-25 F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:47 UTC |
Seese ScottManaging Director
|
GrantCommon Stock | 4,094 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000026 · wf-form4_155123561438698.xml · nonDerivative · entry 2 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,796 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on February 25, 2020, February 25, 2021 and February 25, 2022. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 6,860 shares of Common Stock; (ii) 11,074 restricted stock units that vest in full on August 21, 2019; (iii) 2,768 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:44 UTC |
Oroschakoff MichelleManaging Director
|
GrantOption to purchase Common Stock · Derivative | 7,680 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000025 · wf-form4_155123546456000.xml · derivative · entry 4 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,680 Underlying: Common Stock · 7,680 shares Expires 2029-02-25 F6 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:44 UTC |
Oroschakoff MichelleManaging Director
|
GrantCommon Stock | 2,559 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000025 · wf-form4_155123546456000.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,370.1482 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on February 25, 2020, February 25, 2021 and February 25, 2022. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:39 UTC |
Larsen Sallie R.Managing Director
|
GrantOption to purchase Common Stock · Derivative | 5,837 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000024 · wf-form4_155123517061661.xml · derivative · entry 4 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,837 Underlying: Common Stock · 5,837 shares Expires 2029-02-25 F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:39 UTC |
Larsen Sallie R.Managing Director
|
GrantCommon Stock | 1,944 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000024 · wf-form4_155123517061661.xml · nonDerivative · entry 3 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,092 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 12,719 shares of Common Stock; (ii) 1,899 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; (iii) 1,530 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:39 UTC |
Larsen Sallie R.Managing Director
|
Tax withholdingCommon Stock | 1,429 | $77.53 | $110,790.37 |
DisclosureSEC source: 0001397911-19-000024 · wf-form4_155123517061661.xml · nonDerivative · entry 2 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,148 Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:37 UTC |
Kalbaugh John AndrewManaging Director
|
GrantOption to purchase Common Stock · Derivative | 7,349 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000023 · wf-form4_155123505402487.xml · derivative · entry 4 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,349 Underlying: Common Stock · 7,349 shares Expires 2029-02-25 F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:37 UTC |
Kalbaugh John AndrewManaging Director
|
GrantCommon Stock | 2,448 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000023 · wf-form4_155123505402487.xml · nonDerivative · entry 3 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,139 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 13,386 shares of Common Stock; (ii) 1,626 restricted stock units that vest in full on June 13, 2019; (iii) 2,795 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; (iv) 1,884 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (v) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:37 UTC |
Kalbaugh John AndrewManaging Director
|
Tax withholdingCommon Stock | 2,585 | $77.53 | $200,415.05 |
DisclosureSEC source: 0001397911-19-000023 · wf-form4_155123505402487.xml · nonDerivative · entry 2 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,691 Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:31 UTC |
Calder TracyManaging Director
|
GrantOption to purchase Common Stock · Derivative | 4,700 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000021 · wf-form4_155123468398816.xml · derivative · entry 5 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,700 Underlying: Common Stock · 4,700 shares Expires 2029-02-25 F4 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:31 UTC |
Calder TracyManaging Director
|
GrantCommon Stock | 1,566 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000021 · wf-form4_155123468398816.xml · nonDerivative · entry 3 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,209 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:31 UTC |
Calder TracyManaging Director
|
Tax withholdingCommon Stock | 422 | $77.53 | $32,717.66 |
DisclosureSEC source: 0001397911-19-000021 · wf-form4_155123468398816.xml · nonDerivative · entry 2 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,643 Read SEC document |
| February 23, 2019 Filed Feb 26, 2019 21:35 UTC |
Gooley ThomasManaging Director
|
Tax withholdingCommon Stock | 566 | $77.04 | $43,604.64 |
DisclosureSEC source: 0001397911-19-000022 · wf-form4_155123493023724.xml · nonDerivative · entry 1 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,726 Read SEC document |
| February 23, 2019 Filed Feb 27, 2019 02:25 UTC |
Audette Matthew JChief Financial Officer
|
Tax withholdingCommon Stock | 616 | $77.04 | $47,456.64 |
DisclosureSEC source: 0001397911-19-000020 · wf-form4_155123434155626.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,358 Read SEC document |
| February 23, 2019 Filed Feb 27, 2019 02:50 UTC |
White George BurtonManaging Director
|
Tax withholdingCommon Stock | 472 | $77.04 | $36,362.88 |
DisclosureSEC source: 0001397911-19-000028 · wf-form4_155123580309810.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,217 Read SEC document |
| February 23, 2019 Filed Feb 27, 2019 02:47 UTC |
Seese ScottManaging Director
|
Tax withholdingCommon Stock | 466 | $77.04 | $35,900.64 |
DisclosureSEC source: 0001397911-19-000026 · wf-form4_155123561438698.xml · nonDerivative · entry 1 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,702 Read SEC document |
| February 23, 2019 Filed Feb 27, 2019 02:39 UTC |
Larsen Sallie R.Managing Director
|
Tax withholdingCommon Stock | 255 | $77.04 | $19,645.20 |
DisclosureSEC source: 0001397911-19-000024 · wf-form4_155123517061661.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,577 Read SEC document |
| February 23, 2019 Filed Feb 27, 2019 02:37 UTC |
Kalbaugh John AndrewManaging Director
|
Tax withholdingCommon Stock | 415 | $77.04 | $31,971.60 |
DisclosureSEC source: 0001397911-19-000023 · wf-form4_155123505402487.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,276 Read SEC document |
| February 23, 2019 Filed Feb 27, 2019 02:31 UTC |
Calder TracyManaging Director
|
Tax withholdingCommon Stock | 191 | $77.04 | $14,714.64 |
DisclosureSEC source: 0001397911-19-000021 · wf-form4_155123468398816.xml · nonDerivative · entry 1 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,065 Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 23:12 UTC |
Kalbaugh John AndrewManaging Director
|
Exercise / conversionOption to purchase Common Stock · Derivative | 40,000 | $0.00 Strike: $22.08 | $0.00 |
DisclosureSEC source: 0001397911-19-000012 · wf-form4_155009956446883.xml · derivative · entry 3 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 40,000 shares Expires 2019-09-14 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. F4 · derivative.exercise_date: This option became exercisable in five installments, beginning September 14, 2010, which was the first anniversary date on which it was granted. The option became fully vested on September 14, 2014. Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 23:12 UTC |
Kalbaugh John AndrewManaging Director
|
SaleCommon Stock | 40,000 | $76.94 | $3,077,600.00 |
DisclosureSEC source: 0001397911-19-000012 · wf-form4_155009956446883.xml · nonDerivative · entry 2 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,691 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 12, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.81 to $77.145, 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 ranges set forth in this footnote (2) to this Form 4. F3 · balance_after: Consists of (i) 9,570 shares of Common Stock; (ii) 2,762 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 1,626 restricted stock units that vest in full on June 13, 2019; (v) 2,795 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 2,827 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 23:12 UTC |
Kalbaugh John AndrewManaging Director
|
Exercise / conversionCommon Stock | 40,000 | $22.08 | $883,200.00 |
DisclosureSEC source: 0001397911-19-000012 · wf-form4_155009956446883.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,691 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 |
| February 04, 2019 Filed Feb 6, 2019 17:53 UTC |
Gooley ThomasManaging Director
|
Exercise / conversionOption to purchase Common Stock · Derivative | 6,926 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · derivative · entry 8 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,852 Underlying: Common Stock · 6,926 shares Expires 2027-03-13 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. F6 · derivative.exercise_date: This option, representing a right to purchase a total of 20,778 shares, becomes exercisable in three equal installments, beginning on March 13, 2018, which was the first anniversary of the date on which it was granted. The option shall become vested with regard to the remaining 13,852 underlying shares on March 13, 2020. Read SEC document |
| February 04, 2019 Filed Feb 6, 2019 17:53 UTC |
Gooley ThomasManaging Director
|
Exercise / conversionOption to purchase Common Stock · Derivative | 15,938 | $0.00 Strike: $24.38 | $0.00 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · derivative · entry 7 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,969 Underlying: Common Stock · 15,938 shares Expires 2026-06-13 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. F5 · derivative.exercise_date: This option, representing a right to purchase a total of 23,907 shares, becomes exercisable in three equal installments, beginning on June 13, 2017, which was the first anniversary of the date on which it was granted. The option shall become vested with regard to the remaining 7,969 underlying shares on June 13, 2019. Read SEC document |
| February 04, 2019 Filed Feb 6, 2019 17:53 UTC |
Gooley ThomasManaging Director
|
Exercise / conversionOption to purchase Common Stock · Derivative | 20,576 | $0.00 Strike: $43.74 | $0.00 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · derivative · entry 6 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,576 shares Expires 2025-08-06 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. F4 · derivative.exercise_date: This option became exercisable in three installments, beginning August 6, 2016, which was the first anniversary of the date on which it was granted. The option became fully vested on August 6, 2018. Read SEC document |
| February 04, 2019 Filed Feb 6, 2019 17:53 UTC |
Gooley ThomasManaging Director
|
SaleCommon Stock | 3,100 | $75.06 | $232,686.00 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · nonDerivative · entry 5 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,292 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.055 to $75.09 per share, 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 ranges set forth in this footnote (2) to this Form 4. F3 · balance_after: Consists of (i) 7,997 shares of Common Stock; (ii) 1,830 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 976 restricted stock units that vest in full on June 13, 2019; (v) 3,958 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 3,420 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| February 04, 2019 Filed Feb 6, 2019 17:53 UTC |
Gooley ThomasManaging Director
|
SaleCommon Stock | 40,340 | $74.81 | $3,017,835.40 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · nonDerivative · entry 4 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,392 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.05 to $75.03 per share, 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 ranges set forth in this footnote (1) to this Form 4. Read SEC document |
| February 04, 2019 Filed Feb 6, 2019 17:53 UTC |
Gooley ThomasManaging Director
|
Exercise / conversionCommon Stock | 6,926 | $39.48 | $273,438.48 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · nonDerivative · entry 3 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,732 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 |
| February 04, 2019 Filed Feb 6, 2019 17:53 UTC |
Gooley ThomasManaging Director
|
Exercise / conversionCommon Stock | 15,938 | $24.38 | $388,568.44 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · nonDerivative · entry 2 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,806 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 |
| February 04, 2019 Filed Feb 6, 2019 17:53 UTC |
Gooley ThomasManaging Director
|
Exercise / conversionCommon Stock | 20,576 | $43.74 | $899,994.24 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · nonDerivative · entry 1 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,868 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 |
| January 16, 2019 Filed Jan 18, 2019 18:05 UTC |
Arnold Dan H.Director · President & CEO
|
Exercise / conversionOption to purchase Common Stock · Derivative | 36,774 | $0.00 Strike: $34.61 | $0.00 |
DisclosureSEC source: 0001397911-19-000004 · wf-form4_154785272876398.xml · derivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 36,774 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. F3 · 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 |
| January 16, 2019 Filed Jan 18, 2019 18:05 UTC |
Arnold Dan H.Director · President & CEO
|
SaleCommon Stock | 36,774 | $70.00 | $2,574,180.00 |
DisclosureSEC source: 0001397911-19-000004 · wf-form4_154785272876398.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,986.94 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 June 1, 2018. F2 · balance_after: Consists of (i) 187,064.94 shares of Common Stock; (ii) 4,002 restricted stock units that vest on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; and (iv) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13, 2022. Read SEC document |
| January 16, 2019 Filed Jan 18, 2019 18:05 UTC |
Arnold Dan H.Director · President & CEO
|
Exercise / conversionCommon Stock | 36,774 | $34.61 | $1,272,748.14 |
DisclosureSEC source: 0001397911-19-000004 · wf-form4_154785272876398.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,760.94 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.