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 |
|---|---|---|---|---|---|---|
| August 16, 2021 Filed Aug 18, 2021 20:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 6,455 | $0.00 Strike: $45.55 | $0.00 |
DisclosureSEC source: 0001397911-21-000153 · wf-form4_162931791156120.xml · derivative · entry 8 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,455 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 full on the third anniversary of the date on which it was granted. 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 | 8,715 | $0.00 Strike: $48.09 | $0.00 |
DisclosureSEC source: 0001397911-21-000153 · wf-form4_162931791156120.xml · derivative · entry 7 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,715 shares Expires 2024-09-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock 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. F7 · derivative.exercise_date: This option became exercisable in four installments, beginning on September 3, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2018. Read SEC document |
| August 16, 2021 Filed Aug 18, 2021 20:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,800 | $145.11 | $551,418.00 |
DisclosureSEC source: 0001397911-21-000153 · wf-form4_162931791156120.xml · nonDerivative · entry 6 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,207.1482 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 $144.78 to $145.58, 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 ranges set forth in this footnote (5) to this Form 4. F6 · balance_after: Consists of (i) 20,777.15 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 |
| August 16, 2021 Filed Aug 18, 2021 20:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 8,537 | $143.98 | $1,229,157.26 |
DisclosureSEC source: 0001397911-21-000153 · wf-form4_162931791156120.xml · nonDerivative · entry 5 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,007.1482 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 $143.74 to $144.73, 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 ranges set forth in this footnote (4) to this Form 4. Read SEC document |
| August 16, 2021 Filed Aug 18, 2021 20:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 5,848 | $143.69 | $840,299.12 |
DisclosureSEC source: 0001397911-21-000153 · wf-form4_162931791156120.xml · nonDerivative · entry 4 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,544.1482 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 $142.74 to $143.72, 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 ranges set forth in this footnote (3) to this Form 4. Read SEC document |
| August 16, 2021 Filed Aug 18, 2021 20:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 4,830 | $45.55 | $220,006.50 |
DisclosureSEC source: 0001397911-21-000153 · wf-form4_162931791156120.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,392.1482 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 / conversionCommon Stock | 6,455 | $45.55 | $294,025.25 |
DisclosureSEC source: 0001397911-21-000153 · wf-form4_162931791156120.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,562.1482 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 / conversionCommon Stock | 8,715 | $48.09 | $419,104.35 |
DisclosureSEC source: 0001397911-21-000153 · wf-form4_162931791156120.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,107.1482 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 12, 2021 Filed May 14, 2021 20:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 4,000 | $0.00 Strike: $48.09 | $0.00 |
DisclosureSEC source: 0001397911-21-000118 · wf-form4_162102507681151.xml · derivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,715 Underlying: Common Stock · 4,000 shares Expires 2024-09-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. F4 · derivative.exercise_date: This option became exercisable in four installments, beginning September 3, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2018. Read SEC document |
| May 12, 2021 Filed May 14, 2021 20:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,000 | $147.43 | $589,720.00 |
DisclosureSEC source: 0001397911-21-000118 · wf-form4_162102507681151.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,392.1482 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. F3 · balance_after: Consists of (i) 18,962.15 shares of Common Stock; (ii) 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 |
| May 12, 2021 Filed May 14, 2021 20:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 4,000 | $48.09 | $192,360.00 |
DisclosureSEC source: 0001397911-21-000118 · wf-form4_162102507681151.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,392.1482 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 11, 2020. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 00:54 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 943 | $130.23 | $122,806.89 |
DisclosureSEC source: 0001397911-21-000059 · wf-form4_161464646018980.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,392.1482 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. F3 · balance_after: Consists of (i) 18,962.15 shares of Common Stock; (ii) 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) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 00:54 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,539 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000059 · wf-form4_161464646018980.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,335.1482 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on 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. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 00:54 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 929 | $132.10 | $122,720.90 |
DisclosureSEC source: 0001397911-21-000059 · wf-form4_161464646018980.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,796.1482 Read SEC document |
| February 24, 2021 Filed Feb 25, 2021 22:40 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 513 | $134.94 | $69,224.22 |
DisclosureSEC source: 0001397911-21-000041 · wf-form4_161429279617458.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,725.1482 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. F3 · balance_after: Consists of (i) 18,962.15 shares of Common Stock; (ii) 1,706 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iii) 3,057 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:40 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 3,763 | $135.41 | $509,547.83 |
DisclosureSEC source: 0001397911-21-000041 · wf-form4_161429279617458.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,238.1482 Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:40 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 8,144 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000041 · wf-form4_161429279617458.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,001.1482 F1 · shares: Represents shares of Common Stock received upon vesting of performance share units ("PSUs") that were granted on February 23, 2018. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2020. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 23:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 198 | $0.00 Strike: $48.09 | $0.00 |
DisclosureSEC source: 0001397911-21-000020 · wf-form4_161360387455981.xml · derivative · entry 5 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,715 Underlying: Common Stock · 198 shares Expires 2024-09-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock options exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. F5 · derivative.exercise_date: This option became exercisable in four installments, beginning September 3, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2018. Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 23:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 3,802 | $0.00 Strike: $54.81 | $0.00 |
DisclosureSEC source: 0001397911-21-000020 · wf-form4_161360387455981.xml · derivative · entry 4 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,802 shares Expires 2024-02-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock options exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. F4 · derivative.exercise_date: This option became exercisable in three installments, beginning February 24, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on February 24, 2017. Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 23:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,000 | $128.16 | $512,640.00 |
DisclosureSEC source: 0001397911-21-000020 · wf-form4_161360387455981.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,857.1482 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. F3 · balance_after: Consists of (i) 14,076.15 shares of Common Stock; (ii) 1,018 restricted stock units that vest in full on February 23, 2021; (iii) 1,706 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 3,057 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 23:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 198 | $48.09 | $9,521.82 |
DisclosureSEC source: 0001397911-21-000020 · wf-form4_161360387455981.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,857.1482 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock options exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 23:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 3,802 | $54.81 | $208,387.62 |
DisclosureSEC source: 0001397911-21-000020 · wf-form4_161360387455981.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,659.1482 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock options exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. Read SEC document |
| November 12, 2020 Filed Nov 14, 2020 00:14 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 4,000 | $0.00 Strike: $54.81 | $0.00 |
DisclosureSEC source: 0001397911-20-000203 · wf-form4_160531288221990.xml · derivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,802 Underlying: Common Stock · 4,000 shares Expires 2024-02-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. F4 · derivative.exercise_date: This option became exercisable in three installments, beginning February 24, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on February 24, 2017. Read SEC document |
| November 12, 2020 Filed Nov 14, 2020 00:14 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,000 | $86.79 | $347,160.00 |
DisclosureSEC source: 0001397911-20-000203 · wf-form4_160531288221990.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,857.1482 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. F3 · balance_after: Consists of (i) 14,076.15 shares of Common Stock; (ii) 1,018 restricted stock units that vest in full on February 23, 2021; (iii) 1,706 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 3,057 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| November 12, 2020 Filed Nov 14, 2020 00:14 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 4,000 | $54.81 | $219,240.00 |
DisclosureSEC source: 0001397911-20-000203 · wf-form4_160531288221990.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,857.1482 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. Read SEC document |
| August 12, 2020 Filed Aug 14, 2020 21:12 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 4,000 | $0.00 Strike: $54.81 | $0.00 |
DisclosureSEC source: 0001397911-20-000166 · wf-form4_159743948536338.xml · derivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,802 Underlying: Common Stock · 4,000 shares Expires 2024-02-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. F4 · derivative.exercise_date: This option became exercisable in three installments, beginning February 24, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on February 24, 2017. Read SEC document |
| August 12, 2020 Filed Aug 14, 2020 21:12 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,000 | $84.33 | $337,320.00 |
DisclosureSEC source: 0001397911-20-000166 · wf-form4_159743948536338.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,857.1482 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. F3 · balance_after: Consists of (i) 14,076.15 shares of Common Stock; (ii) 1,018 restricted stock units that vest in full on February 23, 2021; (iii) 1,706 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 3,057 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| August 12, 2020 Filed Aug 14, 2020 21:12 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 4,000 | $54.81 | $219,240.00 |
DisclosureSEC source: 0001397911-20-000166 · wf-form4_159743948536338.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,857.1482 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. Read SEC document |
| March 13, 2020 Filed Mar 18, 2020 00:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 602 | $59.76 | $35,975.52 |
DisclosureSEC source: 0001397911-20-000076 · wf-form4_158449210817144.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,857.1482 F2 · balance_after: Consists of (i) 14,076.15 shares of Common Stock; (ii) 1,018 restricted stock units that vest in full on February 23, 2021; (iii) 1,706 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 3,057 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| March 13, 2020 Filed Mar 18, 2020 00:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 9,710 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000076 · wf-form4_158449210817144.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,459.1482 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 26, 2020 Filed Feb 28, 2020 01:55 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 558 | $84.86 | $47,351.88 |
DisclosureSEC source: 0001397911-20-000052 · wf-form4_158285493993999.xml · nonDerivative · entry 4 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,749.1482 F1 · 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 10, 2019. F3 · balance_after: Consists of (i) 3,755.148 shares of Common Stock; (ii) 1,213 restricted stock units that vest in full on March 13, 2020; (iii) 1,018 restricted stock units that vest in full on February 23, 2021; (iv) 1,706 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 01:55 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 3,057 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000052 · wf-form4_158285493993999.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,307.1482 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, 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. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 01:55 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 295 | $84.48 | $24,921.60 |
DisclosureSEC source: 0001397911-20-000052 · wf-form4_158285493993999.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,250.1482 Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 01:55 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 665 | $87.78 | $58,373.70 |
DisclosureSEC source: 0001397911-20-000052 · wf-form4_158285493993999.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,545.1482 F1 · 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 10, 2019. Read SEC document |
| February 23, 2020 Filed Feb 25, 2020 22:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 353 | $94.86 | $33,485.58 |
DisclosureSEC source: 0001397911-20-000033 · wf-form4_158267046914129.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,210.1482 F1 · balance_after: Consists of (i) 4,420.148 shares of Common Stock; (ii) 1,213 restricted stock units that vest in full on March 13, 2020; (iii) 1,018 restricted stock units that vest in full on February 23, 2021; and (iv) 2,559 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 13, 2020 Filed Feb 18, 2020 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 5,000 | $0.00 Strike: $48.09 | $0.00 |
DisclosureSEC source: 0001397911-20-000015 · wf-form4_158206214041207.xml · derivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,913 Underlying: Common Stock · 5,000 shares Expires 2024-09-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2019. F4 · derivative.exercise_date: This option became exercisable in four installments, beginning September 3, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2018. Read SEC document |
| February 13, 2020 Filed Feb 18, 2020 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 5,000 | $94.95 | $474,750.00 |
DisclosureSEC source: 0001397911-20-000015 · wf-form4_158206214041207.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,563.1482 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 10, 2019. F3 · balance_after: Consists of (i) 3,755.1482 shares of Common Stock; (ii) 1,213 restricted stock units that vest in full on March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 2,559 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 13, 2020 Filed Feb 18, 2020 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 5,000 | $48.09 | $240,450.00 |
DisclosureSEC source: 0001397911-20-000015 · wf-form4_158206214041207.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,563.1482 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 10, 2019. Read SEC document |
| November 13, 2019 Filed Nov 15, 2019 21:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 5,000 | $0.00 Strike: $48.09 | $0.00 |
DisclosureSEC source: 0001397911-19-000160 · wf-form4_157385426514393.xml · derivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,913 Underlying: Common Stock · 5,000 shares Expires 2024-09-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2019. F4 · derivative.exercise_date: This option became exercisable in four installments, beginning September 3, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2018. Read SEC document |
| November 13, 2019 Filed Nov 15, 2019 21:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 5,000 | $85.95 | $429,750.00 |
DisclosureSEC source: 0001397911-19-000160 · wf-form4_157385426514393.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,563.1482 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 10, 2019. F3 · balance_after: Consists of (i) 3,755.1482 shares of Common Stock; (ii) 1,213 restricted stock units that vest in full on March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 2,559 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| November 13, 2019 Filed Nov 15, 2019 21:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 5,000 | $48.09 | $240,450.00 |
DisclosureSEC source: 0001397911-19-000160 · wf-form4_157385426514393.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,563.1482 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 10, 2019. Read SEC document |
| August 13, 2019 Filed Aug 15, 2019 20:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 266 | $0.00 Strike: $48.09 | $0.00 |
DisclosureSEC source: 0001397911-19-000123 · wf-form4_156590170153497.xml · derivative · entry 5 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,913 Underlying: Common Stock · 266 shares Expires 2024-09-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: This option became exercisable in four installments, beginning September 3, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2018. Read SEC document |
| August 13, 2019 Filed Aug 15, 2019 20:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 4,734 | $0.00 Strike: $36.88 | $0.00 |
DisclosureSEC source: 0001397911-19-000123 · wf-form4_156590170153497.xml · derivative · entry 4 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,734 shares Expires 2023-09-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: This option became exercisable in four installments, beginning September 3, 2014, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2017. Read SEC document |
| August 13, 2019 Filed Aug 15, 2019 20:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 5,000 | $71.67 | $358,350.00 |
DisclosureSEC source: 0001397911-19-000123 · wf-form4_156590170153497.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,563.1482 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 10, 2019. F3 · balance_after: Consists of (i) 3,755.1482 shares of Common Stock; (ii) 1,213 restricted stock units that vest in full on March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 2,559 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| August 13, 2019 Filed Aug 15, 2019 20:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 266 | $48.09 | $12,791.94 |
DisclosureSEC source: 0001397911-19-000123 · wf-form4_156590170153497.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,563.1482 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 10, 2019. Read SEC document |
| August 13, 2019 Filed Aug 15, 2019 20:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 4,734 | $36.88 | $174,589.92 |
DisclosureSEC source: 0001397911-19-000123 · wf-form4_156590170153497.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,297.1482 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 10, 2019. Read SEC document |
| May 28, 2019 Filed May 30, 2019 21:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 6,000 | $0.00 Strike: $36.88 | $0.00 |
DisclosureSEC source: 0001397911-19-000093 · wf-form4_155925124430910.xml · derivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,734 Underlying: Common Stock · 6,000 shares Expires 2023-09-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: This option became exercisable in four installments, beginning September 3, 2014, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2017. Read SEC document |
| May 28, 2019 Filed May 30, 2019 21:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 6,000 | $84.51 | $507,060.00 |
DisclosureSEC source: 0001397911-19-000093 · wf-form4_155925124430910.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,563.1482 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 5, 2018. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $84.25 to $84.74, 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. F4 · balance_after: Consists of (i) 3,755.1482 shares of Common Stock; (ii) 1,213 restricted stock units that vest in full on March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 2,559 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| May 28, 2019 Filed May 30, 2019 21:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 6,000 | $36.88 | $221,280.00 |
DisclosureSEC source: 0001397911-19-000093 · wf-form4_155925124430910.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,563.1482 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 5, 2018. Read SEC document |
| March 14, 2019 Filed Mar 16, 2019 01:00 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,214 | $73.81 | $89,605.34 |
DisclosureSEC source: 0001397911-19-000045 · wf-form4_155269802261454.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,563.1482 F1 · kind: The sale reported in this Form 4 was effected pursuant to Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.58 to $73.93, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4. F3 · balance_after: Consists of (i) 3,755.1482 shares of Common Stock; (ii) 1,213 restricted stock units that vest in full on March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 2,559 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. 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.