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, 2022 | March 01, 2022 |
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, 2022 · Filed March 01, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 16,544 |
Reported balance
After 2022-02-25 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-02-25 · Tax withholding · Disposed 1,114 · Balance 16,544 |
| Common StockSEC Table I · non-derivative | Direct | 16,124 |
Reported balance
After 2022-02-28 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2022-02-28 · Sale · Disposed 420 · Balance 16,124 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2021. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.18 to $180.04, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. |
| Common StockSEC Table I · non-derivative | Direct | 15,919 |
Reported balance
After 2022-02-28 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2022-02-28 · Sale · Disposed 205 · Balance 15,919 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2021. F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.30 to $180.96, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. |
| Common StockSEC Table I · non-derivative | Direct | 15,289 |
Reported balance
After 2022-02-28 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2022-02-28 · Sale · Disposed 630 · Balance 15,289 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2021. F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.33 to $182.22, 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: Consists of (i) 885 shares of Common Stock; (ii) 12,002 restricted stock units that vest in four installments as follows: 1,953 restricted stock units on each of May 25, 2022, August 25, 2022 and November 25, 2022; and 6,143 restricted stock units on February 25, 2023; and (iii) 2,402 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2021.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.18 to $180.04, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.30 to $180.96, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.33 to $182.22, 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: Consists of (i) 885 shares of Common Stock; (ii) 12,002 restricted stock units that vest in four installments as follows: 1,953 restricted stock units on each of May 25, 2022, August 25, 2022 and November 25, 2022; and 6,143 restricted stock units on February 25, 2023; and (iii) 2,402 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024.
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 28, 2022 Filed Mar 1, 2022 22:57 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 630 | $181.75 | $114,502.50 |
DisclosureSEC source: 0001397911-22-000026 · wf-form4_164617540450846.xml · nonDerivative · entry 4 Fandrey Edward · CIK 0001842672 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,289 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 December 13, 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 $181.33 to $182.22, 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 · balance_after: Consists of (i) 885 shares of Common Stock; (ii) 12,002 restricted stock units that vest in four installments as follows: 1,953 restricted stock units on each of May 25, 2022, August 25, 2022 and November 25, 2022; and 6,143 restricted stock units on February 25, 2023; and (iii) 2,402 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024. Read SEC document |
| February 28, 2022 Filed Mar 1, 2022 22:57 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 205 | $180.51 | $37,004.55 |
DisclosureSEC source: 0001397911-22-000026 · wf-form4_164617540450846.xml · nonDerivative · entry 3 Fandrey Edward · CIK 0001842672 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,919 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 December 13, 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 $180.30 to $180.96, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| February 28, 2022 Filed Mar 1, 2022 22:57 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 420 | $179.67 | $75,461.40 |
DisclosureSEC source: 0001397911-22-000026 · wf-form4_164617540450846.xml · nonDerivative · entry 2 Fandrey Edward · CIK 0001842672 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,124 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 December 13, 2021. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.18 to $180.04, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 22:57 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 1,114 | $182.73 | $203,561.22 |
DisclosureSEC source: 0001397911-22-000026 · wf-form4_164617540450846.xml · nonDerivative · entry 1 Fandrey Edward · CIK 0001842672 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,544 Read SEC document |
| November 30, 2021 Filed Dec 1, 2021 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 271 | $159.73 | $43,286.83 |
DisclosureSEC source: 0001397911-21-000190 · wf-form4_163839492550852.xml · nonDerivative · entry 3 Fandrey Edward · CIK 0001842672 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,658 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 September 13, 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 $159.66 to $159.80, 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 · balance_after: Consists of (i) 100 shares of Common Stock; (ii) 13,955 restricted stock units that vest in five installments as follows: 1,953 restricted stock units on each of February 25, 2022, May 25, 2022, August 25, 2022 and November 25, 2022; and 6,143 restricted stock units on February 25, 2023; and (iii) 3,603 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. Read SEC document |
| November 30, 2021 Filed Dec 1, 2021 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 630 | $158.93 | $100,125.90 |
DisclosureSEC source: 0001397911-21-000190 · wf-form4_163839492550852.xml · nonDerivative · entry 2 Fandrey Edward · CIK 0001842672 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,929 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 September 13, 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 $158.53 to $159.47, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| November 30, 2021 Filed Dec 1, 2021 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 883 | $157.93 | $139,452.19 |
DisclosureSEC source: 0001397911-21-000190 · wf-form4_163839492550852.xml · nonDerivative · entry 1 Fandrey Edward · CIK 0001842672 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,559 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 September 13, 2021. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $157.47 to $158.45, 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 (2) to this Form 4. Read SEC document |
| November 24, 2021 Filed Nov 26, 2021 21:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 1,755 | $171.99 | $301,842.45 |
DisclosureSEC source: 0001397911-21-000184 · wf-form4_163796146947859.xml · nonDerivative · entry 1 Fandrey Edward · CIK 0001842672 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,442 F1 · balance_after: Consists of (i) 1,884 shares of Common Stock; (ii) 13,955 restricted stock units that vest in five installments as follows: 1,953 restricted stock units on February 25, 2022, May 25, 2022, August 25, 2022 and November 25, 2022; and 6,143 restricted stock units on February 25, 2023; and (iii) 3,603 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. Read SEC document |
| August 26, 2021 Filed Aug 27, 2021 20:27 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,784 | $148.78 | $265,423.52 |
DisclosureSEC source: 0001397911-21-000158 · wf-form4_163009600948170.xml · nonDerivative · entry 2 Fandrey Edward · CIK 0001842672 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,197 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021. F2 · balance_after: Consists of (i) 100 shares of Common Stock; (ii) 17,494 restricted stock units that vest in six installments as follows: 3,539 restricted stock units on November 25, 2021; 1,953 restricted stock units on February 25, 2022, May 25, 2022, August 25, 2022 and November 25, 2022; and 6,143 restricted stock units on February 25, 2023; and (iii) 3,603 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 20:27 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 1,755 | $148.37 | $260,389.35 |
DisclosureSEC source: 0001397911-21-000158 · wf-form4_163009600948170.xml · nonDerivative · entry 1 Fandrey Edward · CIK 0001842672 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,981 Read SEC document |
| June 14, 2021 Filed Jun 16, 2021 21:16 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,930 | $139.49 | $269,215.70 |
DisclosureSEC source: 0001397911-21-000138 · wf-form4_162387816916042.xml · nonDerivative · entry 1 Fandrey Edward · CIK 0001842672 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,736 F1 · balance_after: Consists of (i) 100 shares of Common Stock; (ii) 21,033 restricted stock units that vest in seven installments as follows: 3,539 restricted stock units on August 25, 2021 and November 25, 2021; 1,953 restricted stock units on February 25, 2022, May 25, 2022, August 25, 2022 and November 25, 2022; and 6,143 restricted stock units on February 25, 2023; and (iii) 3,603 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. Read SEC document |
| May 25, 2021 Filed May 27, 2021 21:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 1,509 | $146.86 | $221,611.74 |
DisclosureSEC source: 0001397911-21-000122 · wf-form4_162214963682295.xml · nonDerivative · entry 1 Fandrey Edward · CIK 0001842672 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,666 F1 · balance_after: Consists of (i) 2,030 shares of Common Stock; (ii) 21,033 restricted stock units that vest in seven installments as follows: 3,539 restricted stock units on August 25, 2021 and November 25, 2021; 1,953 restricted stock units on February 25, 2022, May 25, 2022, August 25, 2022 and November 25, 2022; and 6,143 restricted stock units on February 25, 2023; and (iii) 3,603 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 00:36 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 24,572 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000053 · wf-form4_161464534723552.xml · nonDerivative · entry 2 Fandrey Edward · CIK 0001842672 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,175 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 in eight installments as follows: 14.40% of the total number of shares on each of May 25, 2021, August 25, 2021 and November 25, 2021; 7.95% of the total number of shares on each of February 25, 2022, May 25, 2022, August 25, 2022 and November 25, 2022; and 25.00% of the total number of shares on February 25, 2023, subject to the Reporting Person's continued employment by the Issuer on each such vesting date. Vested shares will be issued to the Reporting Person as soon as practicable after their vesting date. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 00:36 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 3,603 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000053 · wf-form4_161464534723552.xml · nonDerivative · entry 1 Fandrey Edward · CIK 0001842672 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,603 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.