Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LPL Financial Holdings Inc.LPLA · Entity 3160 | Managing Director | November 10, 2023 | November 14, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
LPL Financial Holdings Inc.
Report date November 10, 2023 · Filed November 14, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 38,684 |
Reported balance
After 2023-11-10 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-11-10 · Exercise / conversion · Acquired 13,488 · Balance 38,684 |
| Common StockSEC Table I · non-derivative | Direct | 25,196 |
Reported balance
After 2023-11-10 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2023-11-10 · Sale · Disposed 13,488 · Balance 25,196 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.43 to $227.02, 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 (1) to this Form 4. F2: Consists of (i) 21,080 shares of Common Stock; (ii) 677 restricted stock units that vest in full on February 25, 2024; (iii) 908 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 2,531 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026. |
| Option to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $54.81 · Expires 2024-02-24 | Direct | 0 |
Reported balance
After 2023-11-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-11-10 · Exercise / conversion · Disposed 13,488 · Balance 0 F3: This option became exercisable in three installments, beginning on 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.43 to $227.02, 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 (1) to this Form 4.
F2: Consists of (i) 21,080 shares of Common Stock; (ii) 677 restricted stock units that vest in full on February 25, 2024; (iii) 908 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 2,531 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026.
F3: This option became exercisable in three installments, beginning on 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.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 10, 2023 Filed Nov 14, 2023 22:07 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 13,488 | $0.00 Strike: $54.81 | $0.00 |
DisclosureSEC source: 0001397911-23-000168 · wk-form4_1699999615.xml · derivative · entry 3 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,488 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. F3 · derivative.exercise_date: This option became exercisable in three installments, beginning on 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 |
| November 10, 2023 Filed Nov 14, 2023 22:07 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 13,488 | $226.57 | $3,055,976.16 |
DisclosureSEC source: 0001397911-23-000168 · wk-form4_1699999615.xml · nonDerivative · entry 2 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,196 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.43 to $227.02, 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 (1) to this Form 4. F2 · balance_after: Consists of (i) 21,080 shares of Common Stock; (ii) 677 restricted stock units that vest in full on February 25, 2024; (iii) 908 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 2,531 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026. Read SEC document |
| November 10, 2023 Filed Nov 14, 2023 22:07 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 13,488 | $54.81 | $739,277.28 |
DisclosureSEC source: 0001397911-23-000168 · wk-form4_1699999615.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 38,684 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 27, 2023 Filed Feb 28, 2023 23:35 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,439 | $248.13 | $1,101,449.07 |
DisclosureSEC source: 0001397911-23-000036 · wf-form4_167762731642416.xml · nonDerivative · entry 4 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,196 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 December 12, 2022. F4 · balance_after: Consists of (i) 21,080 shares of Common Stock; (ii) 677 restricted stock units that vest in full on February 25, 2024; (iii) 908 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2023 Filed Feb 28, 2023 23:35 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,531 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000036 · wf-form4_167762731642416.xml · nonDerivative · entry 3 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,635 F2 · 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, 2024, February 25, 2025, and February 25, 2026. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| February 25, 2023 Filed Feb 28, 2023 23:35 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 4,281 | $247.30 | $1,058,691.30 |
DisclosureSEC source: 0001397911-23-000036 · wf-form4_167762731642416.xml · nonDerivative · entry 2 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,104 Read SEC document |
| February 25, 2023 Filed Feb 28, 2023 23:35 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 6,830 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000036 · wf-form4_167762731642416.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,385 F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2020. 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, 2022. 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 13, 2023 Filed Feb 15, 2023 21:34 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 20,519 | $0.00 Strike: $31.60 | $0.00 |
DisclosureSEC source: 0001397911-23-000016 · wf-form4_167649684975469.xml · derivative · entry 5 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,519 shares Expires 2023-02-22 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. 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 12, 2022. F7 · derivative.exercise_date: This option became exercisable in four installments, beginning February 22, 2014, which was the first anniversary of the date on which it was granted. The option became fully vested on February 22, 2017. Read SEC document |
| February 13, 2023 Filed Feb 15, 2023 21:34 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 5,810 | $242.33 | $1,407,937.30 |
DisclosureSEC source: 0001397911-23-000016 · wf-form4_167649684975469.xml · nonDerivative · entry 4 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,555 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 12, 2022. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $242.19 to $242.75, 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. F6 · balance_after: Consists of (i) 21,080 shares of Common Stock; (ii) 759 restricted stock units that vest in full on February 25, 2023; (iii) 1,354 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 1,362 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025. Read SEC document |
| February 13, 2023 Filed Feb 15, 2023 21:34 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 12,828 | $241.76 | $3,101,297.28 |
DisclosureSEC source: 0001397911-23-000016 · wf-form4_167649684975469.xml · nonDerivative · entry 3 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,365 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 12, 2022. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $241.19 to $242.18, 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 13, 2023 Filed Feb 15, 2023 21:34 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,881 | $240.88 | $453,095.28 |
DisclosureSEC source: 0001397911-23-000016 · wf-form4_167649684975469.xml · nonDerivative · entry 2 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,193 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 12, 2022. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $240.17 to $241.08, 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 (3) to this Form 4. Read SEC document |
| February 13, 2023 Filed Feb 15, 2023 21:34 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 20,519 | $31.60 | $648,400.40 |
DisclosureSEC source: 0001397911-23-000016 · wf-form4_167649684975469.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,074 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 12, 2022. Read SEC document |
| May 11, 2022 Filed May 13, 2022 20:30 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 15,815 | $0.00 Strike: $31.61 | $0.00 |
DisclosureSEC source: 0001397911-22-000071 · wf-form4_165247376063281.xml · derivative · entry 2 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,815 shares Expires 2022-05-30 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 May 30, 2013, which was the first anniversary of the date on which it was granted. The option became fully vested on May 30, 2017. Read SEC document |
| May 11, 2022 Filed May 13, 2022 20:30 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 15,815 | $31.61 | $499,912.15 |
DisclosureSEC source: 0001397911-22-000071 · wf-form4_165247376063281.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,555 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) 21,080 shares of Common Stock; (ii) 759 restricted stock units that vest in full on February 25, 2023; (iii) 1,354 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 1,362 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025. Read SEC document |
| February 28, 2022 Filed Mar 1, 2022 23:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,506 | $177.77 | $801,031.62 |
DisclosureSEC source: 0001397911-22-000030 · wf-form4_164617620217133.xml · nonDerivative · entry 4 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,740 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 December 13, 2021. F4 · balance_after: Consists of (i) 5,265 shares of Common Stock; (ii) 759 restricted stock units that vest in full on February 25, 2023; (iii) 1,354 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 23:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,362 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000030 · wf-form4_164617620217133.xml · nonDerivative · entry 3 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,246 F2 · 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, 2023, February 25, 2024, and February 25, 2025. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 23:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 2,764 | $182.73 | $505,065.72 |
DisclosureSEC source: 0001397911-22-000030 · wf-form4_164617620217133.xml · nonDerivative · entry 2 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,884 Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 23:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 5,186 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000030 · wf-form4_164617620217133.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,648 F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2019. 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, 2021. 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 |
| August 16, 2021 Filed Aug 18, 2021 20:19 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 8,669 | $143.98 | $1,248,162.62 |
DisclosureSEC source: 0001397911-21-000154 · wf-form4_162931793896253.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,462 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 14, 2021. F2 · balance_after: Consists of (i) 5,265 shares of Common Stock; (ii) 648 restricted stock units that vest in full on February 25, 2022; (iii) 1,518 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 2,031 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 00:45 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,031 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000057 · wf-form4_161464589511692.xml · nonDerivative · entry 2 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,131 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, 2022, February 25, 2023, and February 25, 2024. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 13,934 shares of Common Stock; (ii) 648 restricted stock units that vest in full on February 25, 2022; (iii) 1,518 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 00:45 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 591 | $132.10 | $78,071.10 |
DisclosureSEC source: 0001397911-21-000057 · wf-form4_161464589511692.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,100 Read SEC document |
| February 24, 2021 Filed Feb 25, 2021 22:34 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | 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 23, 2021 Filed Feb 25, 2021 22:34 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | 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 | LPL Financial Holdings Inc. LPLA · Entity 3160 | 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 |
| November 24, 2020 Filed Nov 25, 2020 21:27 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 5,225 | $0.00 Strike: $31.61 | $0.00 |
DisclosureSEC source: 0001397911-20-000207 · wf-form4_160633965875692.xml · derivative · entry 3 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,815 Underlying: Common Stock · 5,225 shares Expires 2022-05-30 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 September 10, 2020. F4 · derivative.exercise_date: This option became exercisable in five installments, beginning May 30, 2013, which was the first anniversary of the date on which it was granted. The option became fully vested on May 30, 2017. Read SEC document |
| November 24, 2020 Filed Nov 25, 2020 21:27 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 5,225 | $95.00 | $496,375.00 |
DisclosureSEC source: 0001397911-20-000207 · wf-form4_160633965875692.xml · nonDerivative · entry 2 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,455 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) 764 restricted stock units that vest in full on February 23, 2021; (iii) 1,296 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 2,277 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| November 24, 2020 Filed Nov 25, 2020 21:27 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 5,225 | $31.61 | $165,162.25 |
DisclosureSEC source: 0001397911-20-000207 · wf-form4_160633965875692.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,680 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 September 10, 2020. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 00:40 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 6,300 | $91.22 | $574,686.00 |
DisclosureSEC source: 0001397911-20-000205 · wf-form4_160565998813724.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,455 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 September 10, 2020. F2 · balance_after: Consists of (i) 13,118 shares of Common Stock; (ii) 764 restricted stock units that vest in full on February 23, 2021; (iii) 1,296 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 2,277 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| March 13, 2020 Filed Mar 18, 2020 00:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 3,435 | $59.76 | $205,275.60 |
DisclosureSEC source: 0001397911-20-000074 · wf-form4_158449181677602.xml · nonDerivative · entry 2 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,755 F2 · balance_after: Consists of (i) 19,418 shares of Common Stock; (ii) 764 restricted stock units that vest in full on February 23, 2021; (iii) 1,296 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 2,277 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| March 13, 2020 Filed Mar 18, 2020 00:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 7,598 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000074 · wf-form4_158449181677602.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,190 F1 · shares: Represents shares of Common Stock received upon vesting of performance share units ("PSUs") that were granted on March 13, 2017. 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, 2019. 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 25, 2020 Filed Feb 28, 2020 01:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,277 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000050 · wf-form4_158285461733929.xml · nonDerivative · entry 2 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,592 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, 2021, February 25, 2022, and February 25, 2023. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 14,306 shares of Common Stock; (ii) 949 restricted stock units that vest in full on March 13, 2020; (iii) 764 restricted stock units that vest in full on February 23, 2021; (iv) 1,296 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (v) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 01:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 216 | $84.48 | $18,247.68 |
DisclosureSEC source: 0001397911-20-000050 · wf-form4_158285461733929.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,315 Read SEC document |
| February 23, 2020 Filed Feb 25, 2020 22:36 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 254 | $94.86 | $24,094.44 |
DisclosureSEC source: 0001397911-20-000031 · wf-form4_158267020265041.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,531 F1 · balance_after: Consists of (i) 13,874 shares of Common Stock; (ii) 949 restricted stock units that vest in full on March 13, 2020; (iii) 764 restricted stock units that vest in full on February 23, 2021; and (iv) 1,944 restricted stock that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| March 13, 2019 Filed Mar 16, 2019 00:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 307 | $74.22 | $22,785.54 |
DisclosureSEC source: 0001397911-19-000043 · wf-form4_155269740521148.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,785 F1 · balance_after: Consists of (i) 13,362 shares of Common Stock; (ii) 949 restricted stock units that vest in full on March 13, 2020; (iii) 1,530 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 1,944 restricted stock that vest ratably 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 | LPL Financial Holdings Inc. LPLA · Entity 3160 | 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 | LPL Financial Holdings Inc. LPLA · Entity 3160 | 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 | LPL Financial Holdings Inc. LPLA · Entity 3160 | 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 23, 2019 Filed Feb 27, 2019 02:39 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | 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 |
| September 28, 2018 Filed Oct 2, 2018 21:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 250 | $64.40 | $16,100.00 |
DisclosureSEC source: 0001397911-18-000186 · wf-form4_153851700176290.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,832 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 July 27, 2018. F2 · balance_after: Consists of (i) 9,209 shares of Common Stock; (ii) 3,111 restricted stock units that vest in full on February 25, 2019; (iii) 1,317 restricted stock units that vest in full on February 25, 2019; (iv) 1,899 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 2,296 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| March 13, 2018 Filed Mar 16, 2018 01:39 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 329 | $64.99 | $21,381.71 |
DisclosureSEC source: 0001397911-18-000063 · wf-form4_152116433632673.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,082 F1 · balance_after: Consists of (i) 9,459 shares of Common Stock; (ii) 3,111 restricted stock units that vest in full on February 25, 2019; (iii) 1,317 restricted stock units that vest in full on February 25, 2019; (iv) 1,899 restricted stock units that vest ratably on each ofMarch 13, 2019 and March 13, 2020; and (v) 2,296 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| March 06, 2018 Filed Mar 9, 2018 00:32 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 519 | $64.27 | $33,356.13 |
DisclosureSEC source: 0001397911-18-000049 · wf-form4_152055555898761.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,411 F1 · balance_after: Consists of (i) 8,838 shares of Common Stock; (ii) 3,111 restricted stock units that vest in full on February 25, 2019; (iii) 1,317 restricted stock units that vest in full on February 25, 2019; (iv) 2,849 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020; and (v) 2,296 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| February 25, 2018 Filed Feb 28, 2018 01:06 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 523 | $65.50 | $34,256.50 |
DisclosureSEC source: 0001397911-18-000027 · wf-form4_151977994174803.xml · nonDerivative · entry 2 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,930 F2 · balance_after: Consists of (i) 7,857 shares of Common Stock; (ii) 789 restricted stock units that vest in full on March 6, 2018; (iii) 711 restricted stock units that vest in full on March 6, 2018; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; (v) 1,317 restricted stock units that vest in full on February 25, 2019; (vi) 2,849 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020; and (vii) the restricted stock units reported on this Form 4. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 01:06 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 7,105 | $0.00 Strike: $65.50 | $0.00 |
DisclosureSEC source: 0001397911-18-000027 · wf-form4_151977994174803.xml · derivative · entry 3 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,105 Underlying: Common Stock · 7,105 shares Expires 2028-02-23 F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 01:06 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,296 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000027 · wf-form4_151977994174803.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,453 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 23, 2019, February 23, 2020 and February 23, 2021. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| March 13, 2017 Filed Mar 16, 2017 01:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 9,973 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-17-000075 · wf-form4_148962770433992.xml · derivative · entry 2 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,973 Underlying: Common Stock · 9,973 shares Expires 2027-03-13 F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of March 13, 2018, March 13, 2019 and March 13, 2020. Read SEC document |
| March 13, 2017 Filed Mar 16, 2017 01:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,849 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000075 · wf-form4_148962770433992.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,157 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 March 13, 2018, March 13, 2019 and March 13, 2020. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 7,062 shares of Common Stock; (ii) 789 restricted stock units that vest in full on March 6, 2018; (iii) 711 restricted stock units that vest in full on March 6, 2018; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; (v) 2,635 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; and (vi) the restricted stock units reported on this Form 4. Read SEC document |
| March 06, 2017 Filed Mar 9, 2017 01:23 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 298 | $39.30 | $11,711.40 |
DisclosureSEC source: 0001397911-17-000055 · wf-form4_148902256794864.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,308 F1 · balance_after: Consists of (i) 7,062 shares of Common Stock; (ii) 789 restricted stock units that vest in full on March 6, 2018; (iii) 711 restricted stock units that vest in full on March 6, 2018; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 2,635 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019. Read SEC document |
| February 25, 2017 Filed Mar 1, 2017 01:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 501 | $39.13 | $19,604.13 |
DisclosureSEC source: 0001397911-17-000039 · wf-form4_148833244713087.xml · nonDerivative · entry 2 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,606 F1 · balance_after: Consists of (i) 6,569 shares of Common Stock; (ii) 1,580 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (iii) 711 restricted stock units that vest in full on March 6, 2018; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 2,635 restricted stock units that vest ratably on February 25, 2018 and February 25, 2019. Read SEC document |
| February 24, 2017 Filed Mar 1, 2017 01:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 317 | $39.13 | $12,404.21 |
DisclosureSEC source: 0001397911-17-000039 · wf-form4_148833244713087.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,107 Read SEC document |
| February 22, 2017 Filed Feb 24, 2017 02:49 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 364 | $40.16 | $14,618.24 |
DisclosureSEC source: 0001397911-17-000021 · wf-form4_148790454894075.xml · nonDerivative · entry 1 Larsen Sallie R. · CIK 0001548541 · MD, Chief Human Cap. Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,424 F1 · balance_after: Consists of (i) 5,340 shares of Common Stock; (ii) 729 stock units that fully vest on February 24, 2017; (iii) 1,580 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (iv) 711 restricted stock units that fully vests on March 6, 2018; (v) 3,111 stock units to fully vest on February 25, 2019; and (vi) 3,953 restricted stock units that vest ratably on February 25, 2017, February 25, 2018, and February 25, 2019. 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.