Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LPL Financial Holdings Inc.LPLA · Entity 3160 | Managing Director | February 25, 2023 | February 28, 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 February 25, 2023 · Filed February 28, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 32,497.1482 |
Reported balance
After 2023-02-25 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-02-25 · Grant · Acquired 9,170 · Balance 32,497.1482 F1: 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. |
| Common StockSEC Table I · non-derivative | Direct | 27,311.1482 |
Reported balance
After 2023-02-25 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2023-02-25 · Tax withholding · Disposed 5,186 · Balance 27,311.1482 |
| Common StockSEC Table I · non-derivative | Direct | 28,661.1482 |
Reported balance
After 2023-02-25 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2023-02-25 · Grant · Acquired 1,350 · Balance 28,661.1482 F2: 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. |
| Common StockSEC Table I · non-derivative | Direct | 27,661.1482 |
Reported balance
After 2023-02-27 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2023-02-27 · Sale · Disposed 1,000 · Balance 27,661.1482 F3: 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: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $244.61 to $245.58, 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. |
| Common StockSEC Table I · non-derivative | Direct | 25,253.1482 |
Reported balance
After 2023-02-27 transaction · row 5
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 5 · 2023-02-27 · Sale · Disposed 2,408 · Balance 25,253.1482 F3: 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: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $245.65 to $246.60, 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. |
| Common StockSEC Table I · non-derivative | Direct | 23,852.1482 |
Reported balance
After 2023-02-27 transaction · row 6
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 6 · 2023-02-27 · Sale · Disposed 1,401 · Balance 23,852.1482 F3: 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. F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $246.69 to $247.45, 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: Consists of (i) 20,443.15 shares of Common Stock; (ii) 847 restricted stock units that vest in full on February 25, 2024; (iii) 1,212 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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.
F3: 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: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $244.61 to $245.58, 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.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $245.65 to $246.60, 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: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $246.69 to $247.45, 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: Consists of (i) 20,443.15 shares of Common Stock; (ii) 847 restricted stock units that vest in full on February 25, 2024; (iii) 1,212 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.
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 |
|---|---|---|---|---|---|---|
| February 27, 2023 Filed Feb 28, 2023 23:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,401 | $246.99 | $346,032.99 |
DisclosureSEC source: 0001397911-23-000038 · wf-form4_167762774874292.xml · nonDerivative · entry 6 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,852.1482 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 12, 2022. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $246.69 to $247.45, 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) 20,443.15 shares of Common Stock; (ii) 847 restricted stock units that vest in full on February 25, 2024; (iii) 1,212 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 27, 2023 Filed Feb 28, 2023 23:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,408 | $246.10 | $592,608.80 |
DisclosureSEC source: 0001397911-23-000038 · wf-form4_167762774874292.xml · nonDerivative · entry 5 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,253.1482 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 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 $245.65 to $246.60, 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 27, 2023 Filed Feb 28, 2023 23:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,000 | $245.24 | $245,240.00 |
DisclosureSEC source: 0001397911-23-000038 · wf-form4_167762774874292.xml · nonDerivative · entry 4 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,661.1482 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 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 $244.61 to $245.58, 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 25, 2023 Filed Feb 28, 2023 23:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,350 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000038 · wf-form4_167762774874292.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,661.1482 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 23:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 5,186 | $247.30 | $1,282,497.80 |
DisclosureSEC source: 0001397911-23-000038 · wf-form4_167762774874292.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,311.1482 Read SEC document |
| February 25, 2023 Filed Feb 28, 2023 23:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 9,170 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000038 · wf-form4_167762774874292.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,497.1482 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 17, 2023 Filed Feb 21, 2023 21:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,874 | $250.33 | $719,448.42 |
DisclosureSEC source: 0001397911-23-000021 · wf-form4_167701634771135.xml · nonDerivative · entry 5 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,327.1482 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. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $250.05 to $250.94, 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) 18,798.15 shares of Common Stock; (ii) 1,019 restricted stock units that vest in full on February 25, 2023; (iii) 1,693 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 1,817 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025. Read SEC document |
| February 17, 2023 Filed Feb 21, 2023 21:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 5,969 | $249.55 | $1,489,563.95 |
DisclosureSEC source: 0001397911-23-000021 · wf-form4_167701634771135.xml · nonDerivative · entry 4 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,201.1482 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 $249.05 to $250.04, 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 17, 2023 Filed Feb 21, 2023 21:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 740 | $248.26 | $183,712.40 |
DisclosureSEC source: 0001397911-23-000021 · wf-form4_167701634771135.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,170.1482 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 $247.85 to $248.84, 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 17, 2023 Filed Feb 21, 2023 21:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 200 | $246.91 | $49,382.00 |
DisclosureSEC source: 0001397911-23-000021 · wf-form4_167701634771135.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,910.1482 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 $246.56 to $247.26, 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 16, 2023 Filed Feb 21, 2023 21:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 7,990 | $248.19 | $1,983,038.10 |
DisclosureSEC source: 0001397911-23-000021 · wf-form4_167701634771135.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,110.1482 F1 · kind: The reporting person contributed the Common Stock to an exchange fund in exchange for shares of such exchange fund. For purposes of determining the number of shares of the exchange fund issuable pursuant to such exchange, the Common Stock was valued at $248.19, which was the closing price of the Common Stock on The Nasdaq Global Select Market on the date of the exchange. Read SEC document |
| November 17, 2022 Filed Nov 21, 2022 22:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 7,680 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-22-000162 · wf-form4_166906879853506.xml · derivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,680 shares Expires 2029-02-25 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. 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 June 14, 2022. F4 · derivative.exercise_date: This option became exercisable in three installments, beginning on February 25, 2020, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2022. Read SEC document |
| November 17, 2022 Filed Nov 21, 2022 22:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 5,213 | $213.80 | $1,114,539.40 |
DisclosureSEC source: 0001397911-22-000162 · wf-form4_166906879853506.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,100.1482 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 14, 2022. F3 · balance_after: Consists of (i) 36,571.15 shares of Common Stock; (ii) 1,019 restricted stock units that vest in full on February 25, 2023; (iii) 1,693 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 1,817 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025. Read SEC document |
| November 17, 2022 Filed Nov 21, 2022 22:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 7,680 | $77.53 | $595,430.40 |
DisclosureSEC source: 0001397911-22-000162 · wf-form4_166906879853506.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,313.1482 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 option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 21:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 9,448 | $0.00 Strike: $65.50 | $0.00 |
DisclosureSEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · derivative · entry 8 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,448 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 June 14, 2022. F10 · derivative.exercise_date: This option became exercisable in three installments, beginning on 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 |
| August 17, 2022 Filed Aug 19, 2022 21:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 345 | $231.90 | $80,005.50 |
DisclosureSEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · nonDerivative · entry 7 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,633.1482 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 June 14, 2022. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $231.85 to $231.94, 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 (8) to this Form 4. F9 · balance_after: Consists of (i) 34,104.15 shares of Common Stock; (ii) 1,019 restricted stock units that vest in full on February 25, 2023; (iii) 1,693 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 1,817 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 21:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 400 | $230.98 | $92,392.00 |
DisclosureSEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · nonDerivative · entry 6 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,978.1482 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 June 14, 2022. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $230.68 to $231.27, 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 (7) to this Form 4. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 21:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,709 | $230.06 | $393,172.54 |
DisclosureSEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · nonDerivative · entry 5 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,378.1482 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 June 14, 2022. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $229.62 to $230.38, 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. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 21:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,300 | $228.77 | $297,401.00 |
DisclosureSEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · nonDerivative · entry 4 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,087.1482 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 June 14, 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 $228.53 to $229.525, 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 |
| August 17, 2022 Filed Aug 19, 2022 21:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,043 | $228.09 | $694,077.87 |
DisclosureSEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,387.1482 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 June 14, 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 $227.53 to $228.51, 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 (4) to this Form 4. Read SEC document |
| August 17, 2022 Filed Aug 19, 2022 21:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 6,086 | $225.88 | $1,374,705.68 |
DisclosureSEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,430.1482 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 June 14, 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 $224.91 to $225.88, 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 |
| August 17, 2022 Filed Aug 19, 2022 21:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 9,448 | $65.50 | $618,844.00 |
DisclosureSEC source: 0001397911-22-000130 · wf-form4_166094358509307.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,516.1482 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 option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022. Read SEC document |
| May 16, 2022 Filed May 18, 2022 21:06 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 12,744 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-22-000076 · wf-form4_165290793451011.xml · derivative · entry 9 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,744 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. F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021. F10 · derivative.exercise_date: This option became exercisable in three installments, beginning on March 13, 2018, which was the first anniversary of the date on which it was granted. The option became fully vested on March 13, 2020. Read SEC document |
| May 16, 2022 Filed May 18, 2022 21:06 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 7,160 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-22-000076 · wf-form4_165290793451011.xml · derivative · entry 8 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,160 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. F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021. F9 · derivative.exercise_date: This option became exercisable in three 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 |
| May 16, 2022 Filed May 18, 2022 21:06 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 15 | $174.89 | $2,623.35 |
DisclosureSEC source: 0001397911-22-000076 · wf-form4_165290793451011.xml · nonDerivative · entry 7 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,068.1482 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 June 14, 2021. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $174.83 to $174.92, 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 (7) to this Form 4. F8 · balance_after: Consists of (i) 37,539.15 shares of Common Stock; (ii) 1,019 restricted stock units that vest in full on February 25, 2023; (iii) 1,693 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 1,817 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025. Read SEC document |
| May 16, 2022 Filed May 18, 2022 21:06 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 320 | $173.80 | $55,616.00 |
DisclosureSEC source: 0001397911-22-000076 · wf-form4_165290793451011.xml · nonDerivative · entry 6 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,083.1482 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 June 14, 2021. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $173.46 to $174.26, 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. Read SEC document |
| May 16, 2022 Filed May 18, 2022 21:06 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 8,528 | $172.62 | $1,472,103.36 |
DisclosureSEC source: 0001397911-22-000076 · wf-form4_165290793451011.xml · nonDerivative · entry 5 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,403.1482 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 June 14, 2021. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $172.34 to $173.23, 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 |
| May 16, 2022 Filed May 18, 2022 21:06 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 5,217 | $171.96 | $897,115.32 |
DisclosureSEC source: 0001397911-22-000076 · wf-form4_165290793451011.xml · nonDerivative · entry 4 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,931.1482 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 June 14, 2021. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $171.27 to $172.24, 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 |
| May 16, 2022 Filed May 18, 2022 21:06 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,644 | $170.78 | $280,762.32 |
DisclosureSEC source: 0001397911-22-000076 · wf-form4_165290793451011.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,148.1482 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 June 14, 2021. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $170.25 to $171.23, 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 |
| May 16, 2022 Filed May 18, 2022 21:06 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 12,744 | $39.48 | $503,133.12 |
DisclosureSEC source: 0001397911-22-000076 · wf-form4_165290793451011.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,792.1482 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 option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021. Read SEC document |
| May 16, 2022 Filed May 18, 2022 21:06 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 7,160 | $19.85 | $142,126.00 |
DisclosureSEC source: 0001397911-22-000076 · wf-form4_165290793451011.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,048.1482 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 option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021. Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 23:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,817 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000032 · wf-form4_164617652671269.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,888.1482 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. F3 · balance_after: Consists of (i) 33,359.15 shares of Common Stock; (ii) 1,019 restricted stock units that vest in full on February 25, 2023; (iii) 1,693 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 23:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 4,733 | $182.73 | $864,861.09 |
DisclosureSEC source: 0001397911-22-000032 · wf-form4_164617652671269.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,071.1482 Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 23:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 6,824 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000032 · wf-form4_164617652671269.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,804.1482 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 |
| February 16, 2022 Filed Feb 18, 2022 22:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 20,000 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-22-000012 · wf-form4_164522207689429.xml · derivative · entry 7 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,160 Underlying: Common Stock · 20,000 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. 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 June 14, 2021. F9 · derivative.exercise_date: This option became exercisable in three 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 16, 2022 Filed Feb 18, 2022 22:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 879 | $189.07 | $166,192.53 |
DisclosureSEC source: 0001397911-22-000012 · wf-form4_164522207689429.xml · nonDerivative · entry 6 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,980.1482 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 June 14, 2021. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $188.86 to $189.36, 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 (7) to this Form 4. F8 · balance_after: Consists of (i) 28,550.15 shares of Common Stock; (ii) 853 restricted stock units that vest in full on February 25, 2022; (iii) 2,038 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 2,539 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. Read SEC document |
| February 16, 2022 Filed Feb 18, 2022 22:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 700 | $188.32 | $131,824.00 |
DisclosureSEC source: 0001397911-22-000012 · wf-form4_164522207689429.xml · nonDerivative · entry 5 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,859.1482 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 June 14, 2021. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $187.85 to $188.73, 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. Read SEC document |
| February 16, 2022 Filed Feb 18, 2022 22:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,221 | $187.19 | $602,938.99 |
DisclosureSEC source: 0001397911-22-000012 · wf-form4_164522207689429.xml · nonDerivative · entry 4 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,559.1482 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 June 14, 2021. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $186.80 to $187.79, 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 16, 2022 Filed Feb 18, 2022 22:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 300 | $186.34 | $55,902.00 |
DisclosureSEC source: 0001397911-22-000012 · wf-form4_164522207689429.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,780.1482 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 June 14, 2021. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $185.73 to $186.72, 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 (4) to this Form 4. Read SEC document |
| February 16, 2022 Filed Feb 18, 2022 22:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 10,117 | $184.57 | $1,867,294.69 |
DisclosureSEC source: 0001397911-22-000012 · wf-form4_164522207689429.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,080.1482 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 June 14, 2021. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $184.51 to $185.37, 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 16, 2022 Filed Feb 18, 2022 22:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 20,000 | $19.85 | $397,000.00 |
DisclosureSEC source: 0001397911-22-000012 · wf-form4_164522207689429.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,197.1482 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 option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021. Read SEC document |
| November 16, 2021 Filed Nov 18, 2021 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 8,691 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-21-000182 · wf-form4_163727204467218.xml · derivative · entry 8 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,160 Underlying: Common Stock · 8,691 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. F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021. F9 · derivative.exercise_date: This option became exercisable in three 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 |
| November 16, 2021 Filed Nov 18, 2021 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 11,309 | $0.00 Strike: $45.55 | $0.00 |
DisclosureSEC source: 0001397911-21-000182 · wf-form4_163727204467218.xml · derivative · entry 7 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,309 shares Expires 2025-03-06 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. F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021. F8 · derivative.exercise_date: This option became exercisable in three installments, beginning on March 6, 2016, which was the first anniversary of the date on which it was granted. The option became fully vested on March 6, 2018. Read SEC document |
| November 16, 2021 Filed Nov 18, 2021 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 930 | $169.49 | $157,625.70 |
DisclosureSEC source: 0001397911-21-000182 · wf-form4_163727204467218.xml · nonDerivative · entry 6 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,197.1482 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 June 14, 2021. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.26 to $169.94, 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 (6) to this Form 4. F7 · balance_after: Consists of (i) 23,767.15 shares of Common Stock; (ii) 853 restricted stock units that vest in full on February 25, 2022; (iii) 2,038 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 2,539 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. Read SEC document |
| November 16, 2021 Filed Nov 18, 2021 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,000 | $168.72 | $337,440.00 |
DisclosureSEC source: 0001397911-21-000182 · wf-form4_163727204467218.xml · nonDerivative · entry 5 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,127.1482 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 June 14, 2021. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.24 to $169.12, 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 (5) to this Form 4. Read SEC document |
| November 16, 2021 Filed Nov 18, 2021 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,470 | $167.68 | $246,489.60 |
DisclosureSEC source: 0001397911-21-000182 · wf-form4_163727204467218.xml · nonDerivative · entry 4 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,127.1482 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 June 14, 2021. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $167.20 to $168.11, 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. Read SEC document |
| November 16, 2021 Filed Nov 18, 2021 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 12,610 | $166.43 | $2,098,682.30 |
DisclosureSEC source: 0001397911-21-000182 · wf-form4_163727204467218.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,597.1482 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 June 14, 2021. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $166.07 to $166.98, 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 (3) to this Form 4. Read SEC document |
| November 16, 2021 Filed Nov 18, 2021 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 8,691 | $19.85 | $172,516.35 |
DisclosureSEC source: 0001397911-21-000182 · wf-form4_163727204467218.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,207.1482 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 option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021. Read SEC document |
| November 16, 2021 Filed Nov 18, 2021 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 11,309 | $45.55 | $515,124.95 |
DisclosureSEC source: 0001397911-21-000182 · wf-form4_163727204467218.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,516.1482 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 option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021. Read SEC document |
| August 16, 2021 Filed Aug 18, 2021 20:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 4,830 | $0.00 Strike: $45.55 | $0.00 |
DisclosureSEC source: 0001397911-21-000153 · wf-form4_162931791156120.xml · derivative · entry 9 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,309 Underlying: Common Stock · 4,830 shares Expires 2025-03-06 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. F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021. F9 · derivative.exercise_date: This option became exercisable in three installments, beginning on March 6, 2016, which was the first anniversary of the date on which it was granted. The option became fully vested on March 6, 2018. 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.