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 | 54,542 |
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 · Grant · Acquired 7,914 · Balance 54,542 F1: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2019. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2021. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. |
| Common StockSEC Table I · non-derivative | Direct | 49,578 |
Reported balance
After 2022-02-25 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2022-02-25 · Tax withholding · Disposed 4,964 · Balance 49,578 F2: Consists of (i) 46,956 shares of Common Stock; (ii) 984 restricted stock units that vest in full on February 25, 2023; and (iii) 1,638 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024. |
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, 2019. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2021. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award.
F2: Consists of (i) 46,956 shares of Common Stock; (ii) 984 restricted stock units that vest in full on February 25, 2023; and (iii) 1,638 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 |
|---|---|---|---|---|---|---|
| November 06, 2019 Filed Nov 8, 2019 21:38 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 12,000 | $0.00 Strike: $23.41 | $0.00 |
DisclosureSEC source: 0001397911-19-000158 · wf-form4_157324909110216.xml · derivative · entry 5 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,000 shares Expires 2020-03-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2019. F6 · derivative.exercise_date: This option became exercisable in five installments, beginning March 15, 2011, which was the first anniversary of the date on which it was granted. The option became fully vested on March 15, 2015. Read SEC document |
| November 06, 2019 Filed Nov 8, 2019 21:38 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 13,074 | $86.59 | $1,132,077.66 |
DisclosureSEC source: 0001397911-19-000158 · wf-form4_157324909110216.xml · nonDerivative · entry 4 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,809 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2019. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.55 to $86.67, 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) 22,289 shares of Common Stock; (ii) 1,516 restricted stock units that vest in full on March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021 and (iv) 2,968 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| November 06, 2019 Filed Nov 8, 2019 21:38 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 38,066 | $86.25 | $3,283,192.50 |
DisclosureSEC source: 0001397911-19-000158 · wf-form4_157324909110216.xml · nonDerivative · entry 3 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,883 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.545 to $86.54, 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 06, 2019 Filed Nov 8, 2019 21:38 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 39,140 | $34.61 | $1,354,635.40 |
DisclosureSEC source: 0001397911-19-000158 · wf-form4_157324909110216.xml · nonDerivative · entry 2 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,949 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2019. Read SEC document |
| November 06, 2019 Filed Nov 8, 2019 21:38 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 12,000 | $23.41 | $280,920.00 |
DisclosureSEC source: 0001397911-19-000158 · wf-form4_157324909110216.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,809 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2019. Read SEC document |
| March 13, 2019 Filed Mar 16, 2019 01:05 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 704 | $74.22 | $52,250.88 |
DisclosureSEC source: 0001397911-19-000047 · wf-form4_155269831245037.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,809 F1 · balance_after: Consists of (i) 22,289 shares of Common Stock; (ii) 1,516 restricted stock units that vest in full on March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021 and (iv) 2,968 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 8,909 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000028 · wf-form4_155123580309810.xml · derivative · entry 4 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,909 Underlying: Common Stock · 8,909 shares Expires 2029-02-25 F3 · 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 02:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,968 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000028 · wf-form4_155123580309810.xml · nonDerivative · entry 3 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,513 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, 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. F2 · balance_after: Consists of (i) 21,475 shares of Common Stock; (ii) 3,034 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 25, 2019 Filed Feb 27, 2019 02:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 2,672 | $77.53 | $207,160.16 |
DisclosureSEC source: 0001397911-19-000028 · wf-form4_155123580309810.xml · nonDerivative · entry 2 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,545 Read SEC document |
| February 23, 2019 Filed Feb 27, 2019 02:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 472 | $77.04 | $36,362.88 |
DisclosureSEC source: 0001397911-19-000028 · wf-form4_155123580309810.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,217 Read SEC document |
| January 10, 2019 Filed Jan 12, 2019 01:23 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 3,000 | $0.00 Strike: $23.41 | $0.00 |
DisclosureSEC source: 0001397911-19-000002 · wf-form4_154725620598312.xml · derivative · entry 5 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 3,000 shares Expires 2020-03-15 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 five installments, beginning March 15, 2011, which was the first anniversary of the date on which it was granted. The option became fully vested on March 15, 2015. Read SEC document |
| January 10, 2019 Filed Jan 12, 2019 01:23 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 23,892 | $0.00 Strike: $22.08 | $0.00 |
DisclosureSEC source: 0001397911-19-000002 · wf-form4_154725620598312.xml · derivative · entry 4 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 23,892 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. F3 · derivative.exercise_date: This option became exercisable in five installments, beginning 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 |
| January 10, 2019 Filed Jan 12, 2019 01:23 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 3,000 | $23.41 | $70,230.00 |
DisclosureSEC source: 0001397911-19-000002 · wf-form4_154725620598312.xml · nonDerivative · entry 3 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,689 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 · balance_after: Consists of (i) 17,837 shares of Common Stock; (ii) 2,653 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) 3,034 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 |
| January 10, 2019 Filed Jan 12, 2019 01:23 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 23,892 | $66.00 | $1,576,872.00 |
DisclosureSEC source: 0001397911-19-000002 · wf-form4_154725620598312.xml · nonDerivative · entry 2 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,689 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 August 23, 2018. Read SEC document |
| January 10, 2019 Filed Jan 12, 2019 01:23 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 23,892 | $22.08 | $527,535.36 |
DisclosureSEC source: 0001397911-19-000002 · wf-form4_154725620598312.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,581 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 |
| November 08, 2018 Filed Nov 13, 2018 22:16 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 26,108 | $0.00 Strike: $22.08 | $0.00 |
DisclosureSEC source: 0001397911-18-000199 · wf-form4_154214737449413.xml · derivative · entry 3 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,892 Underlying: Common Stock · 26,108 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. F3 · derivative.exercise_date: This option became exercisable in five installments, beginning 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 |
| November 08, 2018 Filed Nov 13, 2018 22:16 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 23,893 | $66.00 | $1,576,938.00 |
DisclosureSEC source: 0001397911-18-000199 · wf-form4_154214737449413.xml · nonDerivative · entry 2 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,689 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 August 23, 2018. F2 · balance_after: Consists of (i) 14,837 shares of Common Stock; (ii) 2,653 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) 3,034 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 08, 2018 Filed Nov 13, 2018 22:16 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 26,108 | $22.08 | $576,464.64 |
DisclosureSEC source: 0001397911-18-000199 · wf-form4_154214737449413.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,582 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 |
| June 10, 2018 Filed Jun 12, 2018 21:39 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 327 | $71.05 | $23,233.35 |
DisclosureSEC source: 0001397911-18-000146 · wf-form4_152883953699556.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,474 F1 · balance_after: Consists of (i) 12,622 shares of Common Stock; (ii) 2,653 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) 3,034 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 01:51 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 25,000 | $0.00 Strike: $18.04 | $0.00 |
DisclosureSEC source: 0001397911-18-000069 · wf-form4_152116508007273.xml · derivative · entry 5 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 0 shares Expires 2019-02-12 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 five installments, beginning February 12, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on February 12, 2014. Read SEC document |
| March 13, 2018 Filed Mar 16, 2018 01:51 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 704 | $64.99 | $45,752.96 |
DisclosureSEC source: 0001397911-18-000069 · wf-form4_152116508007273.xml · nonDerivative · entry 4 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,801 F3 · balance_after: Consists of (i) 12,245 shares of Common Stock; (ii) 704 restricted stock units that vest in full on June 10, 2018; (iii) 2,653 restricted stock units that vest in full on February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; (v) 3,034 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 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 01:51 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,200 | $65.79 | $276,318.00 |
DisclosureSEC source: 0001397911-18-000069 · wf-form4_152116508007273.xml · nonDerivative · entry 3 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,505 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.74 to $65.87, 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 |
| March 13, 2018 Filed Mar 16, 2018 01:51 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 20,800 | $65.34 | $1,359,072.00 |
DisclosureSEC source: 0001397911-18-000069 · wf-form4_152116508007273.xml · nonDerivative · entry 2 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,705 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.73 to $65.72, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4. Read SEC document |
| March 13, 2018 Filed Mar 16, 2018 01:51 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 25,000 | $18.04 | $451,000.00 |
DisclosureSEC source: 0001397911-18-000069 · wf-form4_152116508007273.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,505 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 |
| March 06, 2018 Filed Mar 9, 2018 00:46 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 417 | $64.27 | $26,800.59 |
DisclosureSEC source: 0001397911-18-000055 · wf-form4_152055636948206.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,505 F1 · balance_after: Consists of (i) 11,431 shares of Common Stock; (ii) 704 restricted stock units that vest in full on June 10, 2018; (iii) 2,653 restricted stock units that vest in full on February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; (v) 4,552 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020; and (vi) 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 01:49 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 868 | $65.50 | $56,854.00 |
DisclosureSEC source: 0001397911-18-000035 · wf-form4_151978253877133.xml · nonDerivative · entry 2 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,922 F2 · balance_after: Consists of (i) 10,518 shares of Common Stock; (ii) 1,330 restricted stock units that vest in full on March 6, 2018; (iii) 704 restricted stock units that vest in full on June 10, 2018; (iv) 2,653 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) 4,552 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 01:49 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: 0001397911-18-000035 · wf-form4_151978253877133.xml · derivative · entry 3 White George Burton · CIK 0001548543 · 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 01:49 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 3,054 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000035 · wf-form4_151978253877133.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,790 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 |
| June 10, 2017 Filed Jun 13, 2017 21:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 243 | $41.47 | $10,077.21 |
DisclosureSEC source: 0001397911-17-000147 · wf-form4_149738913393185.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,736 F1 · balance_after: Consists of (i) 8,732 shares of Common Stock; (ii) 1,330 restricted stock units that vest in full on March 6, 2018; (iii) 704 restricted stock units that vest in full on June 10, 2018; (iv) 5,307 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) 4,552 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 01:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 15,930 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-17-000081 · wf-form4_148962846232804.xml · derivative · entry 2 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,930 Underlying: Common Stock · 15,930 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 01:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 4,552 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000081 · wf-form4_148962846232804.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,979 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) 8,270 shares of Common Stock; (ii) 1,330 restricted stock units that vest in full on March 6, 2018; (iii) 1,409 restricted stock units that vest ratably on each of June 10, 2017 and June 10, 2018; (iv) 5,307 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) the restricted stock units reported on this Form 4. Read SEC document |
| March 06, 2017 Filed Mar 9, 2017 01:35 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 457 | $39.30 | $17,960.10 |
DisclosureSEC source: 0001397911-17-000061 · wf-form4_148902332064181.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,427 F1 · balance_after: Consists of (i) 8,270 shares of Common Stock; (ii) 1,330 restricted stock units that vest in full on March 6, 2018; (iii) 1,409 restricted stock units that vest ratably on each of June 10, 2017 and June 10, 2018; (iv) 5,307 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; and (v) 3,111 restricted stock units that vest in full on February 25, 2019. Read SEC document |
| February 25, 2017 Filed Mar 1, 2017 01:59 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 912 | $39.13 | $35,686.56 |
DisclosureSEC source: 0001397911-17-000045 · wf-form4_148833357775557.xml · nonDerivative · entry 2 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,884 F1 · balance_after: Consists of (i) 7,397 shares of Common Stock; (ii) 2,660 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (iii) 1,409 restricted stock units that vest ratably on June 10, 2017 and June 10, 2018; (iv) 5,307 restricted stock units that vest ratably on February 25, 2018 and February 25, 2019; and (v) 3,111 restricted stock units that vest in full on February 25, 2019. Read SEC document |
| February 24, 2017 Filed Mar 1, 2017 01:59 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 298 | $39.13 | $11,660.74 |
DisclosureSEC source: 0001397911-17-000045 · wf-form4_148833357775557.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,796 Read SEC document |
| February 22, 2017 Filed Feb 24, 2017 02:54 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 25,000 | $0.00 Strike: $27.40 | $0.00 |
DisclosureSEC source: 0001397911-17-000023 · wf-form4_148790487846609.xml · derivative · entry 4 White George Burton · CIK 0001548543 · MD, Investor & Invstmt Solutns 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2017-12-07 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 five installments, beginning on December 7, 2008, which was the first anniversary of the date on which it was granted. The option became fully vested on December 7, 2012. Read SEC document |
| February 22, 2017 Filed Feb 24, 2017 02:54 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 351 | $40.16 | $14,096.16 |
DisclosureSEC source: 0001397911-17-000023 · wf-form4_148790487846609.xml · nonDerivative · entry 3 White George Burton · CIK 0001548543 · MD, Investor & Invstmt Solutns 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,094 F2 · balance_after: Consists of (i) 5,086 shares of Common Stock; (ii) 867 restricted stock units that vest on February 24,2017; (iii) 2,660 restricted stock units that vest ratably on March 6, 2017, and March 6, 2018; (iv) 1,409 restricted stock units that will vest ratably on June 10, 2017 and June 10, 2018; (v) 7,961 restricted stock units that vest ratably on February 25, 2017, February 25, 2018, and February 25, 2019; and (vi) 3,111 restricted stock units that fully vest on February 25, 2019. Read SEC document |
| February 22, 2017 Filed Feb 24, 2017 02:54 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 25,000 | $40.14 | $1,003,470.00 |
DisclosureSEC source: 0001397911-17-000023 · wf-form4_148790487846609.xml · nonDerivative · entry 2 White George Burton · CIK 0001548543 · MD, Investor & Invstmt Solutns 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,445 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $40.09 to $40.19, 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 22, 2017 Filed Feb 24, 2017 02:54 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 25,000 | $27.40 | $685,000.00 |
DisclosureSEC source: 0001397911-17-000023 · wf-form4_148790487846609.xml · nonDerivative · entry 1 White George Burton · CIK 0001548543 · MD, Investor & Invstmt Solutns 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,445 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.