Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CITIZENS FINANCIAL GROUP INC/RICFG · Entity 1913 | Director | February 12, 2020 | February 13, 2020 |
| HORACE MANN EDUCATORS CORP /DE/HMN · Entity 1365 | Director | May 25, 2022 | May 27, 2022 |
| Lefteris Acquisition Corp.LFTRU · Entity 143056 | Director · Chairman of the Board · 10% owner | February 04, 2021 | February 04, 2021 |
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.
CITIZENS FINANCIAL GROUP INC/RI
Report date February 12, 2020 · Filed February 13, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 24,124.123 |
Reported balance
After 2020-02-12 transaction · row 1
1 source rowRow 1 · 2020-02-12 · Grant · Acquired 73.781 · Balance 24,124.123 F1: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan.
HORACE MANN EDUCATORS CORP /DE/
Report date May 25, 2022 · Filed May 27, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,308.207 |
Reported balance
After 2022-05-25 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-05-25 · Grant · Acquired 2,911 · Balance 6,308.207 F1: The acquisition of Common Stock reported hereby is in the form of restricted stock units which will vest in full on May 25, 2023. F2: Granted as compensation for services. |
Filing footnotes · ownership attribution and instrument terms
F1: The acquisition of Common Stock reported hereby is in the form of restricted stock units which will vest in full on May 25, 2023.
F2: Granted as compensation for services.
Lefteris Acquisition Corp.
Report date February 04, 2021 · Filed February 04, 2021
Jointly reported with Lefteris Holdings LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Lefteris Holdings LLC | 5,087,473 |
Reported balance
After 2021-02-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-02-04 · Other · Disposed 30,000 · Balance 5,087,473 F1: Shares of Class B Common Stock will automatically convert into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to adjustment, as described under the heading "Description of Securities" in the Issuer's registration statement on form S-1 (File No. 333-249290) and have no expiration date. F2: On February 4, 2021, Lefteris Holdings, LLC, the sponsor of the Issuer (the "Sponsor") transferred 10,000 shares of Class B common stock of the Issuer to each of the Issuer's independent directors at a price per share equal to $0.00386. F3: The securities are held directly by Lefteris Holdings LLC. The Reporting Person is the managing member of Lefteris Holdings LLC and shares voting and dispositive power over and may be deemed to beneficially own such shares held by Lefteris Holdings LLC. The Reporting Person disclaims beneficial ownership over any securities owned by Lefteris Holdings LLC other than to the extent of any pecuniary interest he may have therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares of Class B Common Stock will automatically convert into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to adjustment, as described under the heading "Description of Securities" in the Issuer's registration statement on form S-1 (File No. 333-249290) and have no expiration date.
F2: On February 4, 2021, Lefteris Holdings, LLC, the sponsor of the Issuer (the "Sponsor") transferred 10,000 shares of Class B common stock of the Issuer to each of the Issuer's independent directors at a price per share equal to $0.00386.
F3: The securities are held directly by Lefteris Holdings LLC. The Reporting Person is the managing member of Lefteris Holdings LLC and shares voting and dispositive power over and may be deemed to beneficially own such shares held by Lefteris Holdings LLC. The Reporting Person disclaims beneficial ownership over any securities owned by Lefteris Holdings LLC other than to the extent of any pecuniary interest he may have therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
LPL Financial Holdings Inc.
Report date March 02, 2017 · Filed March 06, 2017
Section 16 reporting ended · disclosed 2017-03-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 130,957 |
Ending reported balance
After 2017-03-02 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-03-02 · Exercise / conversion · Acquired 2,000 · Balance 132,957 Row 2 · 2017-03-02 · Sale · Disposed 2,000 · Balance 130,957 |
| Option to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $19.85 | Direct | 401,329 |
Reported balance
After 2017-03-02 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-03-02 · Exercise / conversion · Disposed 2,000 · Balance 401,329 F1: This option became exercisable for 134,443 shares on February 25, 2017, which was the first anniversary of the grant date. This option became exercisable by its terms for the remaining 268,886 shares on March 3, 2017 upon the reporting person's retirement and will remain exercisable for a period of up to two years thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: This option became exercisable for 134,443 shares on February 25, 2017, which was the first anniversary of the grant date. This option became exercisable by its terms for the remaining 268,886 shares on March 3, 2017 upon the reporting person's retirement and will remain exercisable for a period of up to two years thereafter.
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 |
|---|---|---|---|---|---|---|
| May 25, 2022 Filed May 27, 2022 19:28 UTC | HORACE MANN EDUCATORS CORP /DE/ HMN · Entity 1365 | GrantCommon Stock | 2,911 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-22-007504 · marketforms-56372.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,308.207 F1 · security: The acquisition of Common Stock reported hereby is in the form of restricted stock units which will vest in full on May 25, 2023. F2 · price: Granted as compensation for services. Read SEC document |
| May 26, 2021 Filed May 28, 2021 15:31 UTC | HORACE MANN EDUCATORS CORP /DE/ HMN · Entity 1365 | GrantCommon Stock | 2,804 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-21-006019 · marketforms-52967.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,111.916 F1 · security: The acquisition of Common Stock reported hereby is in the form of restricted stock units which will vest in full on May 26, 2022. F2 · price: Granted as compensation for services. Read SEC document |
| February 04, 2021 Filed Feb 4, 2021 16:30 UTC | Lefteris Acquisition Corp. LFTRU · Entity 143056 | OtherClass B Common Stock · Derivative | 30,000 | $115.80 | $3,474,000.00 |
DisclosureSEC source: 0001140361-21-003397 · form4.xml · derivative · entry 1 Casady Mark S · CIK 0001405275 · Director · Chairman of the Board · 10% owner Lefteris Holdings LLC · CIK 0001822871 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Lefteris Holdings LLC Disclosed balance after: 5,087,473 Underlying: Class A Common Stock · 30,000 shares Expires not disclosed F1 · derivative.exercise_price: Shares of Class B Common Stock will automatically convert into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to adjustment, as described under the heading "Description of Securities" in the Issuer's registration statement on form S-1 (File No. 333-249290) and have no expiration date. F2 · kind: On February 4, 2021, Lefteris Holdings, LLC, the sponsor of the Issuer (the "Sponsor") transferred 10,000 shares of Class B common stock of the Issuer to each of the Issuer's independent directors at a price per share equal to $0.00386. F2 · price: On February 4, 2021, Lefteris Holdings, LLC, the sponsor of the Issuer (the "Sponsor") transferred 10,000 shares of Class B common stock of the Issuer to each of the Issuer's independent directors at a price per share equal to $0.00386. F1 · derivative.exercise_date: Shares of Class B Common Stock will automatically convert into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to adjustment, as described under the heading "Description of Securities" in the Issuer's registration statement on form S-1 (File No. 333-249290) and have no expiration date. F1 · derivative.expiration_date: Shares of Class B Common Stock will automatically convert into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to adjustment, as described under the heading "Description of Securities" in the Issuer's registration statement on form S-1 (File No. 333-249290) and have no expiration date. F3 · ownership.direct: The securities are held directly by Lefteris Holdings LLC. The Reporting Person is the managing member of Lefteris Holdings LLC and shares voting and dispositive power over and may be deemed to beneficially own such shares held by Lefteris Holdings LLC. The Reporting Person disclaims beneficial ownership over any securities owned by Lefteris Holdings LLC other than to the extent of any pecuniary interest he may have therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. F3 · ownership.nature: The securities are held directly by Lefteris Holdings LLC. The Reporting Person is the managing member of Lefteris Holdings LLC and shares voting and dispositive power over and may be deemed to beneficially own such shares held by Lefteris Holdings LLC. The Reporting Person disclaims beneficial ownership over any securities owned by Lefteris Holdings LLC other than to the extent of any pecuniary interest he may have therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 17, 2020 Filed Nov 19, 2020 11:55 UTC | Lefteris Acquisition Corp. LFTR · Entity 143056 | OtherClass B Common Stock · Derivative | 572,527 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-20-026057 · form4.xml · derivative · entry 1 Casady Mark S · CIK 0001405275 · Director · Chairman of the Board · 10% owner Lefteris Holdings LLC · CIK 0001822871 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Lefteris Holdings LLC Disclosed balance after: 5,117,473 Underlying: Class A Common Stock · 572,527 shares Expires not disclosed F1 · derivative.exercise_price: Shares of Class B Common Stock will automatically convert into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to adjustment, as described under the heading "Description of Securities" in the Issuer's registration statement on form S-1 (File No. 333-249290) and have no expiration date. F2 · kind: 572,527 shares of Class B Common Stock were forfeited to the Issuer at no cost in connection with the partial exercise by the underwriter of the over-allotment option, as described in the Issuer's registration statement on Form S-1. F1 · price: Shares of Class B Common Stock will automatically convert into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to adjustment, as described under the heading "Description of Securities" in the Issuer's registration statement on form S-1 (File No. 333-249290) and have no expiration date. F1 · derivative.exercise_date: Shares of Class B Common Stock will automatically convert into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to adjustment, as described under the heading "Description of Securities" in the Issuer's registration statement on form S-1 (File No. 333-249290) and have no expiration date. F1 · derivative.expiration_date: Shares of Class B Common Stock will automatically convert into shares of the Issuer's Class A Common Stock at the time of the Issuer's initial business combination on a one-for-one basis, subject to adjustment, as described under the heading "Description of Securities" in the Issuer's registration statement on form S-1 (File No. 333-249290) and have no expiration date. F3 · ownership.direct: The securities are held directly by Lefteris Holdings LLC. The Reporting Person is the managing member of Lefteris Holdings LLC and shares voting and dispositive power over and may be deemed to beneficially own such shares held by Lefteris Holdings LLC. The Reporting Person disclaims beneficial ownership over any securities owned by Lefteris Holdings LLC other than to the extent of any pecuniary interest he may have therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. F3 · ownership.nature: The securities are held directly by Lefteris Holdings LLC. The Reporting Person is the managing member of Lefteris Holdings LLC and shares voting and dispositive power over and may be deemed to beneficially own such shares held by Lefteris Holdings LLC. The Reporting Person disclaims beneficial ownership over any securities owned by Lefteris Holdings LLC other than to the extent of any pecuniary interest he may have therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 20, 2020 Filed May 22, 2020 18:11 UTC | HORACE MANN EDUCATORS CORP /DE/ HMN · Entity 1365 | GrantCommon Stock | 3,153 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-20-004939 · marketforms-48856.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: The acquisition of Common Stock reported hereby is in the form of restricted stock units which will vest in full on May 20, 2021. F2 · price: Granted as compensation for services. Read SEC document |
| February 12, 2020 Filed Feb 13, 2020 21:11 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 73.781 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-20-000017 · wf-form4_158162827979856.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,124.123 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| November 13, 2019 Filed Nov 14, 2019 22:35 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 69.209 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-19-000090 · wf-form4_157377093433478.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,050.342 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| August 14, 2019 Filed Aug 15, 2019 20:17 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 81.764 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-19-000080 · wf-form4_156590022876524.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,981.133 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| May 22, 2019 Filed May 24, 2019 18:36 UTC | HORACE MANN EDUCATORS CORP /DE/ HMN · Entity 1365 | GrantCommon Stock | 2,693 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-19-003805 · marketforms-45052.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: The acquisition of Common Stock reported hereby is in the form of restricted stock units which will vest in full on May 22, 2020. F2 · price: Granted as compensation for services. Read SEC document |
| May 15, 2019 Filed May 16, 2019 15:46 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 66.765 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-19-000057 · wf-form4_155802154928709.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,899.369 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| April 25, 2019 Filed Apr 26, 2019 20:49 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 3,639 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-19-000036 · wf-form4_155631173764548.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,832.604 F1 · shares: Reflects a restricted stock unit award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| February 14, 2019 Filed Feb 15, 2019 19:59 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 30.91 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-19-000021 · wf-form4_155026077106852.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,193.604 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| November 14, 2018 Filed Nov 16, 2018 21:34 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 25.665 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-18-000089 · wf-form4_154240404769993.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,162.694 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| August 15, 2018 Filed Aug 16, 2018 20:29 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 23.222 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-18-000077 · wf-form4_153445136587820.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,137.029 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| May 16, 2018 Filed May 17, 2018 20:58 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 17.59 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-18-000053 · wf-form4_152659066659057.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,113.807 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| April 26, 2018 Filed Apr 27, 2018 20:39 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 2,977 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-18-000038 · wf-form4_152486151893507.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,096.217 F1 · shares: Reflects a restricted stock unit award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| February 15, 2018 Filed Feb 16, 2018 20:56 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 2.018 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-18-000006 · wf-form4_151881458812803.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,119.217 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| November 15, 2017 Filed Nov 16, 2017 21:46 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 1.983 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-17-000081 · wf-form4_151086880079425.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,117.199 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| August 16, 2017 Filed Aug 18, 2017 20:44 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 2.216 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-17-000063 · wf-form4_150308905187244.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,115.216 F1 · shares: Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer under the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| August 01, 2017 Filed Aug 3, 2017 20:55 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 418 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-17-000049 · wf-form4_150179371907405.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,113 F1 · shares: Reflects a restricted stock unit award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| April 27, 2017 Filed Apr 28, 2017 20:38 UTC | CITIZENS FINANCIAL GROUP INC/RI CFG · Entity 1913 | GrantCommon Stock | 2,717 | $0.00 | $0.00 |
DisclosureSEC source: 0000759944-17-000033 · wf-form4_149341189848131.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,695 F1 · shares: Reflects a restricted stock unit award granted to the filer pursuant to the Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 17:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 2,000 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-17-000047 · wf-form4_148883850437020.xml · derivative · entry 3 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 401,329 Underlying: Common Stock · 2,000 shares Expires not disclosed 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 · derivative.exercise_date: This option became exercisable for 134,443 shares on February 25, 2017, which was the first anniversary of the grant date. This option became exercisable by its terms for the remaining 268,886 shares on March 3, 2017 upon the reporting person's retirement and will remain exercisable for a period of up to two years thereafter. F1 · derivative.expiration_date: This option became exercisable for 134,443 shares on February 25, 2017, which was the first anniversary of the grant date. This option became exercisable by its terms for the remaining 268,886 shares on March 3, 2017 upon the reporting person's retirement and will remain exercisable for a period of up to two years thereafter. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 17:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,000 | $40.75 | $81,500.00 |
DisclosureSEC source: 0001397911-17-000047 · wf-form4_148883850437020.xml · nonDerivative · entry 2 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,957 Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 17:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 2,000 | $19.85 | $39,700.00 |
DisclosureSEC source: 0001397911-17-000047 · wf-form4_148883850437020.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,957 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 22, 2017 Filed Feb 23, 2017 21:46 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 58,628 | $0.00 Strike: $31.60 | $0.00 |
DisclosureSEC source: 0001397911-17-000019 · wf-form4_148790436536139.xml · derivative · entry 3 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 58,628 shares Expires 2023-02-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option became exercisable in four installments, beginning on February 22, 2014, which was the first anniversary of the date on which it was granted. The option became fully vested on February 22, 2017. Read SEC document |
| February 22, 2017 Filed Feb 23, 2017 21:46 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 58,628 | $40.40 | $2,368,623.97 |
DisclosureSEC source: 0001397911-17-000019 · wf-form4_148790436536139.xml · nonDerivative · entry 2 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,957 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $40.13 to $40.74, 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 (1) to this Form 4. Read SEC document |
| February 22, 2017 Filed Feb 23, 2017 21:46 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 58,628 | $31.60 | $1,852,644.80 |
DisclosureSEC source: 0001397911-17-000019 · wf-form4_148790436536139.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,585 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 15, 2017 Filed Feb 15, 2017 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 175,885 | $0.00 Strike: $31.60 | $0.00 |
DisclosureSEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · derivative · entry 15 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,628 Underlying: Common Stock · 175,885 shares Expires 2023-02-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_date: The option became exercisable in five installments, beginning on February 22, 2014, which was the first anniversary of the date on which it was granted. The remaining 58,628 options will become fully vested on February 22, 2017. Read SEC document |
| February 15, 2017 Filed Feb 15, 2017 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 186,439 | $0.00 Strike: $32.26 | $0.00 |
DisclosureSEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · derivative · entry 14 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 186,439 shares Expires 2022-02-09 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. F7 · derivative.exercise_date: This option became exercisable in five installments, beginning on February 9, 2013, which was the first anniversary of the date on which it was granted. The option became fully vested on February 9, 2017. Read SEC document |
| February 15, 2017 Filed Feb 15, 2017 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 2,889 | $0.00 Strike: $34.61 | $0.00 |
DisclosureSEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · derivative · entry 13 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,889 shares Expires 2020-12-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_date: The option became exercisable in five installments, beginning on December 22, 2011, which was the first anniversary of the date on which it was granted. The option became fully vested on December 22, 2015. Read SEC document |
| February 15, 2017 Filed Feb 15, 2017 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 365,213 | $40.76 | $14,886,081.88 |
DisclosureSEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · nonDerivative · entry 9 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,957 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $40.34 to $41.01, 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 |
| February 15, 2017 Filed Feb 15, 2017 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 175,885 | $31.60 | $5,557,966.00 |
DisclosureSEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · nonDerivative · entry 8 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 496,170 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 15, 2017 Filed Feb 15, 2017 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 186,439 | $32.26 | $6,014,522.14 |
DisclosureSEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · nonDerivative · entry 7 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,285 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 15, 2017 Filed Feb 15, 2017 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 2,889 | $34.61 | $99,988.29 |
DisclosureSEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · nonDerivative · entry 6 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,846 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 14, 2017 Filed Feb 15, 2017 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 147,111 | $0.00 Strike: $34.61 | $0.00 |
DisclosureSEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · derivative · entry 12 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,889 Underlying: Common Stock · 147,111 shares Expires 2020-12-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_date: The option became exercisable in five installments, beginning on December 22, 2011, which was the first anniversary of the date on which it was granted. The option became fully vested on December 22, 2015. Read SEC document |
| February 14, 2017 Filed Feb 15, 2017 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 57,360 | $0.00 Strike: $22.08 | $0.00 |
DisclosureSEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · derivative · entry 11 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 57,360 shares Expires 2019-09-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: This option became exercisable in five installments, beginning on September 14, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on September 14, 2014. Read SEC document |
| February 14, 2017 Filed Feb 15, 2017 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 204,471 | $40.65 | $8,311,746.15 |
DisclosureSEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · nonDerivative · entry 5 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,957 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $40.22 to $40.89, 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 |
| February 14, 2017 Filed Feb 15, 2017 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 147,111 | $34.61 | $5,091,511.71 |
DisclosureSEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · nonDerivative · entry 4 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 335,428 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 14, 2017 Filed Feb 15, 2017 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 57,360 | $22.08 | $1,266,508.80 |
DisclosureSEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · nonDerivative · entry 3 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,317 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 62,640 | $0.00 Strike: $22.08 | $0.00 |
DisclosureSEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · derivative · entry 10 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,360 Underlying: Common Stock · 62,640 shares Expires 2019-09-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: This option became exercisable in five installments, beginning on September 14, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on September 14, 2014. Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 62,640 | $40.84 | $2,558,217.60 |
DisclosureSEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · nonDerivative · entry 2 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,957 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $40.62 to $41.17, 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. Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 62,640 | $22.08 | $1,383,091.20 |
DisclosureSEC source: 0001397911-17-000009 · wf-form4_148721290883585.xml · nonDerivative · entry 1 Casady Mark S · CIK 0001405275 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,597 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 67,086 shares previously reported by the Reporting Person as indirectly held by the Mark S. Casady 2014 Grantor Retained Annuity Trust. 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.