Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LPL Financial Holdings Inc.LPLA · Entity 3160 | Managing Director | June 14, 2021 | June 16, 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.
LPL Financial Holdings Inc.
Report date June 14, 2021 · Filed June 16, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 24,179 |
Reported balance
After 2021-06-14 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-06-14 · Gift · Disposed 1,415 · Balance 24,179 F1: This transaction was a charitable gift of securities by the reporting person. |
| Common StockSEC Table I · non-derivative | Direct | 36,700 |
Reported balance
After 2021-06-14 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2021-06-14 · Exercise / conversion · Acquired 12,521 · Balance 36,700 |
| Common StockSEC Table I · non-derivative | Direct | 24,179 |
Reported balance
After 2021-06-14 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2021-06-14 · Sale · Disposed 12,521 · Balance 24,179 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $139.00 to $139.69, 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: Consists of (i) 16,957 shares of Common Stock; (ii) 1,364 restricted stock units that vest in full on February 25, 2022; (iii) 2,910 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 2,948 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. |
| Option to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $65.50 · Expires 2028-02-23 | Direct | 329 |
Reported balance
After 2021-06-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-06-14 · Exercise / conversion · Disposed 12,521 · Balance 329 F4: This option became exercisable in three installments, beginning February 23, 2019, which was the first anniversary of the date on which it was granted. The option became fully vested on February 23, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was a charitable gift of securities by the reporting person.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $139.00 to $139.69, 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: Consists of (i) 16,957 shares of Common Stock; (ii) 1,364 restricted stock units that vest in full on February 25, 2022; (iii) 2,910 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 2,948 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024.
F4: This option became exercisable in three installments, beginning February 23, 2019, which was the first anniversary of the date on which it was granted. The option became fully vested on February 23, 2021.
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 |
|---|---|---|---|---|---|---|
| June 14, 2021 Filed Jun 16, 2021 21:22 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 12,521 | $0.00 Strike: $65.50 | $0.00 |
DisclosureSEC source: 0001397911-21-000140 · wf-form4_162387851855275.xml · derivative · entry 4 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 329 Underlying: Common Stock · 12,521 shares Expires 2028-02-23 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 three installments, beginning February 23, 2019, which was the first anniversary of the date on which it was granted. The option became fully vested on February 23, 2021. Read SEC document |
| June 14, 2021 Filed Jun 16, 2021 21:22 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 12,521 | $139.10 | $1,741,671.10 |
DisclosureSEC source: 0001397911-21-000140 · wf-form4_162387851855275.xml · nonDerivative · entry 3 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,179 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $139.00 to $139.69, 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 · balance_after: Consists of (i) 16,957 shares of Common Stock; (ii) 1,364 restricted stock units that vest in full on February 25, 2022; (iii) 2,910 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 2,948 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. Read SEC document |
| June 14, 2021 Filed Jun 16, 2021 21:22 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 12,521 | $65.50 | $820,125.50 |
DisclosureSEC source: 0001397911-21-000140 · wf-form4_162387851855275.xml · nonDerivative · entry 2 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,700 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 14, 2021 Filed Jun 16, 2021 21:22 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 1,415 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000140 · wf-form4_162387851855275.xml · nonDerivative · entry 1 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,179 F1 · kind: This transaction was a charitable gift of securities by the reporting person. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 01:00 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 907 | $130.23 | $118,118.61 |
DisclosureSEC source: 0001397911-21-000061 · wf-form4_161464680590652.xml · nonDerivative · entry 3 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,594 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2020. F3 · balance_after: Consists of (i) 18,372 shares of Common Stock; (ii) 1,364 restricted stock units that vest in full on February 25, 2022; (iii) 2,910 the restricted stock units that vest ratably on each of February 25, 2022, and February 25, 2023; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 01:00 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,948 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000061 · wf-form4_161464680590652.xml · nonDerivative · entry 2 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,501 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2022, February 25, 2023, and February 25, 2024. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 01:00 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 1,307 | $132.10 | $172,654.70 |
DisclosureSEC source: 0001397911-21-000061 · wf-form4_161464680590652.xml · nonDerivative · entry 1 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,553 Read SEC document |
| February 24, 2021 Filed Feb 25, 2021 22:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,661 | $134.94 | $628,955.34 |
DisclosureSEC source: 0001397911-21-000043 · wf-form4_161429358458627.xml · nonDerivative · entry 3 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,860 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2020. F3 · balance_after: Consists of (i) 17,767 shares of Common Stock; (ii) 2,729 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iii) 4,364 the restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022, and February 25, 2023. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 4,691 | $135.41 | $635,208.31 |
DisclosureSEC source: 0001397911-21-000043 · wf-form4_161429358458627.xml · nonDerivative · entry 2 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,521 Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 11,076 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000043 · wf-form4_161429358458627.xml · nonDerivative · entry 1 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,212 F1 · shares: Represents shares of Common Stock received upon vesting of performance share units ("PSUs") that were granted on February 23, 2018. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2020. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 02:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 4,364 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000054 · wf-form4_158285524319379.xml · nonDerivative · entry 2 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,136 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, 2021, February 25, 2022, and February 25, 2023. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 14,660 shares of Common Stock; (ii) 1,383 restricted stock units that vest in full on February 23, 2021; (iii) 2,729 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 02:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 428 | $84.48 | $36,157.44 |
DisclosureSEC source: 0001397911-20-000054 · wf-form4_158285524319379.xml · nonDerivative · entry 1 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,772 Read SEC document |
| February 23, 2020 Filed Feb 25, 2020 22:46 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 463 | $94.86 | $43,920.18 |
DisclosureSEC source: 0001397911-20-000035 · wf-form4_158267076136558.xml · nonDerivative · entry 1 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,200 F1 · balance_after: Consists of (i) 13,723 shares of Common Stock; (ii) 1,383 restricted stock units that vest in full on February 23, 2021; and (iii) 4,094 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| August 21, 2019 Filed Aug 23, 2019 21:23 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 5,133 | $73.79 | $378,764.07 |
DisclosureSEC source: 0001397911-19-000125 · wf-form4_156659541305541.xml · nonDerivative · entry 1 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,663 F1 · balance_after: Consists of (i) 12,801 shares of Common Stock; (ii) 2,768 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iii) 4,094 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 02:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 12,289 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000026 · wf-form4_155123561438698.xml · derivative · entry 3 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,289 Underlying: Common Stock · 12,289 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 02:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 4,094 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000026 · wf-form4_155123561438698.xml · nonDerivative · entry 2 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,796 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on February 25, 2020, February 25, 2021 and February 25, 2022. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 6,860 shares of Common Stock; (ii) 11,074 restricted stock units that vest in full on August 21, 2019; (iii) 2,768 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 23, 2019 Filed Feb 27, 2019 02:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 466 | $77.04 | $35,900.64 |
DisclosureSEC source: 0001397911-19-000026 · wf-form4_155123561438698.xml · nonDerivative · entry 1 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,702 Read SEC document |
| August 21, 2018 Filed Aug 23, 2018 21:27 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 5,133 | $66.38 | $340,728.54 |
DisclosureSEC source: 0001397911-18-000166 · wf-form4_153505964507571.xml · nonDerivative · entry 1 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,168 F1 · balance_after: Consists of (i) 5,941 shares of Common Stock; (ii) 11,074 restricted stock units that vest in full on August 21, 2019; and (iii) 4,153 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 01:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 12,850 | $0.00 Strike: $65.50 | $0.00 |
DisclosureSEC source: 0001397911-18-000033 · wf-form4_151978218594359.xml · derivative · entry 2 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,850 Underlying: Common Stock · 12,850 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 01:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 4,153 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000033 · wf-form4_151978218594359.xml · nonDerivative · entry 1 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,301 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. F2 · balance_after: Consists of (i) 22,148 restricted stock units that vest ratably on each of August 21, 2018 and August 21, 2019; and (ii) the restricted stock units reported in this Form 4. Read SEC document |
| August 21, 2017 Filed Aug 23, 2017 21:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 22,148 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000162 · wf-form4_150352346577552.xml · nonDerivative · entry 1 Seese Scott · CIK 0001712038 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,148 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 August 21, 2018 and August 21, 2019. 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.