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 26, 2019 Filed Feb 27, 2019 02:44 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: 0001397911-19-000025 · wf-form4_155123546456000.xml · derivative · entry 5 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,734 Underlying: Common Stock · 6,000 shares Expires 2023-09-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2018. F7 · derivative.exercise_date: This option became exercisable in four installments, beginning September 3, 2014, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2017. Read SEC document |
| February 26, 2019 Filed Feb 27, 2019 02:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 11,593 | $77.11 | $893,936.23 |
DisclosureSEC source: 0001397911-19-000025 · wf-form4_155123546456000.xml · nonDerivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,777.1482 F3 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2018. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.73 to $77.68, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4. F5 · balance_after: Consists of (i) 3,755.1482 shares of Common Stock; (ii) 2,427 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 26, 2019 Filed Feb 27, 2019 02:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 6,000 | $36.88 | $221,280.00 |
DisclosureSEC source: 0001397911-19-000025 · wf-form4_155123546456000.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,370.1482 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2018. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 7,680 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000025 · wf-form4_155123546456000.xml · derivative · entry 4 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,680 Underlying: Common Stock · 7,680 shares Expires 2029-02-25 F6 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,559 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000025 · wf-form4_155123546456000.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,370.1482 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on February 25, 2020, February 25, 2021 and February 25, 2022. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| November 27, 2018 Filed Nov 29, 2018 01:35 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: 0001397911-18-000213 · wf-form4_154345534267485.xml · derivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,734 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. F3 · 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 |
| November 27, 2018 Filed Nov 29, 2018 01:35 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 6,000 | $63.00 | $378,000.00 |
DisclosureSEC source: 0001397911-18-000213 · wf-form4_154345534267485.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,811.1482 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2018. F2 · balance_after: Consists of (i) 3,755.1482 shares of Common Stock; (ii) 1,464 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 2,427 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 3,054 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| November 27, 2018 Filed Nov 29, 2018 01:35 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 6,000 | $36.88 | $221,280.00 |
DisclosureSEC source: 0001397911-18-000213 · wf-form4_154345534267485.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,811.1482 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. Read SEC document |
| August 27, 2018 Filed Aug 27, 2018 22:05 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: 0001397911-18-000174 · wf-form4_153540750038954.xml · derivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,734 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. 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 27, 2018 Filed Aug 27, 2018 22:05 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 6,000 | $67.11 | $402,660.00 |
DisclosureSEC source: 0001397911-18-000174 · wf-form4_153540750038954.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,811.1482 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 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 $66.67 to $67.53, 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) 1,464 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 2,427 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 3,054 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| August 27, 2018 Filed Aug 27, 2018 22:05 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 6,000 | $36.88 | $221,280.00 |
DisclosureSEC source: 0001397911-18-000174 · wf-form4_153540750038954.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,811.1482 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. Read SEC document |
| May 11, 2018 Filed May 15, 2018 21:51 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 6,050 | $69.58 | $420,959.00 |
DisclosureSEC source: 0001397911-18-000108 · wf-form4_152642102945484.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,811.1482 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.49 to $69.63, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4. F2 · balance_after: Consists of (i) 3,755.1482 shares of Common Stock; (ii) 1,464 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 2,427 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 3,054 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| March 13, 2018 Filed Mar 16, 2018 01:45 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 485 | $64.99 | $31,520.15 |
DisclosureSEC source: 0001397911-18-000067 · wf-form4_152116474190199.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,861.1482 F1 · balance_after: Consists of (i) 9,805.1482 shares of Common Stock; (ii) 1,464 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 2.427 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 3,054 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| March 06, 2018 Filed Mar 9, 2018 00:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 585 | $64.27 | $37,597.95 |
DisclosureSEC source: 0001397911-18-000053 · wf-form4_152055612706788.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,346.1482 F1 · balance_after: Consists of (i) 9,076.1482 shares of Common Stock; (ii) 1,464 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 3,641 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020; and (v) 3,054 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| February 25, 2018 Filed Feb 28, 2018 01:38 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 549 | $65.50 | $35,959.50 |
DisclosureSEC source: 0001397911-18-000031 · wf-form4_151978191298858.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,931.1482 F2 · balance_after: Consists of (i) 7,972.1482 shares of Common Stock; (ii) 767 restricted stock units that vest in full on March 6, 2018; (iii) 922 restricted stock units that vest in full on March 6, 2018; (iv) 1,464 restricted stock units that vest in full on February 25, 2019; (v) 3,111 restricted stock units that vest in full on February 25, 2019; (vi) 3,641 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020; and (vii) the restricted stock units reported on this Form 4. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 01:38 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 9,448 | $0.00 Strike: $65.50 | $0.00 |
DisclosureSEC source: 0001397911-18-000031 · wf-form4_151978191298858.xml · derivative · entry 3 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,448 Underlying: Common Stock · 9,448 shares Expires 2028-02-23 F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 01:38 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 3,054 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000031 · wf-form4_151978191298858.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,480.1482 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 23, 2019, February 23, 2020 and February 23, 2021. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| November 01, 2017 Filed Nov 3, 2017 21:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 210 | $49.39 | $10,371.90 |
DisclosureSEC source: 0001397911-17-000188 · wf-form4_150974373024579.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,426.1482 F1 · balance_after: Includes 109.770888 shares acquired under the Issuer's Dividend Reinvestment Plan. F2 · balance_after: Consists of (i) 7,057.1482 shares of Common Stock; (ii) 767 restricted stock units that vest in full on March 6, 2018; (iii) 922 restricted stock units that vest in full on March 6, 2018; (iv) 2,928 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (v) 3,111 restricted stock units that vest in full on February 25, 2019; and (vi) 3,641 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020. Read SEC document |
| September 03, 2017 Filed Sep 6, 2017 21:29 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 655 | $47.35 | $31,014.25 |
DisclosureSEC source: 0001397911-17-000176 · wf-form4_150473335692509.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,526.3773 F1 · balance_after: Consists of (i) 6,755.377293 shares of Common Stock; (ii) 402 restricted stock units that vest in full on November 1, 2017; (iii) 767 restricted stock units that vest in full on March 6, 2018; (iv) 922 restricted stock units that vest in full on March 6, 2018; (v) 2,928 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (vi) 3,111 restricted stock units that vest in full on February 25, 2019; and (vii) 3,641 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020. Read SEC document |
| March 13, 2017 Filed Mar 16, 2017 01:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 12,744 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-17-000079 · wf-form4_148962825942859.xml · derivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,744 Underlying: Common Stock · 12,744 shares Expires 2027-03-13 F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of March 13, 2018, March 13, 2019 and March 13, 2020. Read SEC document |
| March 13, 2017 Filed Mar 16, 2017 01:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 3,641 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000079 · wf-form4_148962825942859.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,181.3773 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 6,054.377293 shares of Common Stock; (ii) 1,356 restricted stock units that vest in full on September 3, 2017; (iii) 402 restricted stock units that vest in full on November 1, 2017; (iv) 767 restricted stock units that vest in full on March 6, 2018; (v) 922 restricted stock units that vest in full on March 6, 2018; (vi) 2,928 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (vii) 3,111 restricted stock units that vest in full on February 25, 2019; and (viii) the restricted stock units reported on this Form 4. Read SEC document |
| March 06, 2017 Filed Mar 9, 2017 01:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 289 | $39.30 | $11,357.70 |
DisclosureSEC source: 0001397911-17-000059 · wf-form4_148902308821438.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,540.3773 F1 · balance_after: Consists of (i) 6,054.377293 shares of Common Stock; (ii) 1,356 restricted stock units that vest in full on September 3, 2017; (iii) 402 restricted stock units that vest in full on November 1, 2017; (iv) 767 restricted stock units that vest in full on March 6, 2018; (v) 922 restricted stock units that vest in full on March 6, 2018; (vi) 2,928 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; and (vii) 3,111 restricted stock units that vest in full on February 25, 2019. Read SEC document |
| February 25, 2017 Filed Mar 1, 2017 01:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 607 | $39.13 | $23,751.91 |
DisclosureSEC source: 0001397911-17-000043 · wf-form4_148833303467463.xml · nonDerivative · entry 2 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,829.3773 F1 · balance_after: Includes 124.377293 shares acquired under the Issuer's Dividend Reinvestment Plan. F2 · balance_after: Consists of (i) 5,574.377293 shares of Common Stock; (ii) 1,356 restricted stock units that vest in full on September 3, 2017; (iii) 402 restricted stock units that vest in full on November 1, 2017; (iv) 1,536 restricted stock units that vest ratably on each of March 6, 2017 and March 6, 2018; (v) 922 restricted stock units that vest in full on March 6, 2018; (vi) 2,928 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; and (vii) 3,111 restricted stock units that vest in full on February 25, 2019. Read SEC document |
| February 24, 2017 Filed Mar 1, 2017 01:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 280 | $39.13 | $10,956.40 |
DisclosureSEC source: 0001397911-17-000043 · wf-form4_148833303467463.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,436.3773 Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 20:33 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 152 | $31.49 | $4,786.48 |
DisclosureSEC source: 0001397911-16-000358 · wf-form4_147820519302742.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · MD, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,592 F1 · balance_after: Consists of (i) 4,234 shares of Common Stock; (ii) 1,356 restricted stock units that vest in full on September 3, 2017; (iii) 639 restricted stock units that vest in full on February 24, 2017; (iv) 402 restricted stock units that vest in full on November 1, 2017; (v) 1,536 restricted stock units that vest ratably on each of March 6, 2017 and March 6, 2018; (vi) 922 restricted stock units that vest in full on March 6, 2018; (vii) 4,392 restricted stock units that vest ratably on each of February 25, 2017, February 25, 2018 and February 25, 2019; and (viii) 3,111 restricted stock units that vest in full on February 25, 2019. Read SEC document |
| September 03, 2016 Filed Sep 7, 2016 20:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 510 | $29.85 | $15,223.50 |
DisclosureSEC source: 0001397911-16-000345 · wf-form4_147328009297678.xml · nonDerivative · entry 1 Oroschakoff Michelle · CIK 0001585874 · MD, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,744 F1 · balance_after: Consists of (i) 3,983 shares of Common Stock; (ii) 1,356 restricted stock units that vest in full on September 3, 2017; (iii) 639 restricted stock units that vest in full on February 24, 2017; (iv) 805 restricted stock units that vest ratably on each of November 1, 2016 and November 1, 2017; (v) 1,536 restricted stock units that vest ratably on each of March 6, 2017 and March 6, 2018; (vi) 922 restricted stock units that vest in full on March 6, 2018; (vii) 4,392 restricted stock units that vest ratably on each of February 25, 2017, February 25, 2018 and February 25, 2019; and (viii) 3,111 restricted stock units that vest in full on February 25, 2019. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.