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, 2021 | March 02, 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 February 25, 2021 · Filed March 02, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 23,535 |
Reported balance
After 2021-02-25 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-02-25 · Tax withholding · Disposed 3,008 · Balance 23,535 |
| Common StockSEC Table I · non-derivative | Direct | 28,449 |
Reported balance
After 2021-02-25 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2021-02-25 · Grant · Acquired 4,914 · Balance 28,449 F1: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. Vested shares will be issued to the reporting person as soon as practicable after the grant date. |
| Common StockSEC Table I · non-derivative | Direct | 27,523 |
Reported balance
After 2021-02-26 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2021-02-26 · Sale · Disposed 926 · Balance 27,523 F2: 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: Consists of (i) 25,026 shares of Common Stock; (ii) 816 restricted stock units that vest in full on February 25, 2022; and (iii) 1,681 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. Vested shares will be issued to the reporting person as soon as practicable after the grant date.
F2: 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: Consists of (i) 25,026 shares of Common Stock; (ii) 816 restricted stock units that vest in full on February 25, 2022; and (iii) 1,681 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023.
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 |
|---|---|---|---|---|---|---|
| September 10, 2019 Filed Sep 12, 2019 21:21 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 12,120 | $32.26 | $390,991.20 |
DisclosureSEC source: 0001397911-19-000145 · wf-form4_156832328549019.xml · nonDerivative · entry 2 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,216 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 June 14, 2019. Read SEC document |
| September 10, 2019 Filed Sep 12, 2019 21:21 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 3,289 | $19.85 | $65,286.65 |
DisclosureSEC source: 0001397911-19-000145 · wf-form4_156832328549019.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,096 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 June 14, 2019. Read SEC document |
| June 13, 2019 Filed Jun 17, 2019 21:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 716 | $84.64 | $60,602.24 |
DisclosureSEC source: 0001397911-19-000107 · wf-form4_156080687431229.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,807 F1 · balance_after: Consists of (i) 15,078 shares of Common Stock; (ii) 1,397 restricted stock units that vest in full on March 13, 2020; (iii) 1,884 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 2,448 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| March 13, 2019 Filed Mar 16, 2019 00:45 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 616 | $74.22 | $45,719.52 |
DisclosureSEC source: 0001397911-19-000041 · wf-form4_155269711465074.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,523 F1 · balance_after: Consists of (i) 14,168 shares of Common Stock; (ii) 1,626 restricted stock units that vest in full on June 13, 2019; (iii) 1,397 restricted stock units that vest in full on March 13, 2020; (iv) 1,884 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (v) 2,448 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 02:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 7,349 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000023 · wf-form4_155123505402487.xml · derivative · entry 4 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,349 Underlying: Common Stock · 7,349 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 02:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,448 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000023 · wf-form4_155123505402487.xml · nonDerivative · entry 3 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,139 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) 13,386 shares of Common Stock; (ii) 1,626 restricted stock units that vest in full on June 13, 2019; (iii) 2,795 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; (iv) 1,884 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (v) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 2,585 | $77.53 | $200,415.05 |
DisclosureSEC source: 0001397911-19-000023 · wf-form4_155123505402487.xml · nonDerivative · entry 2 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,691 Read SEC document |
| February 23, 2019 Filed Feb 27, 2019 02:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 415 | $77.04 | $31,971.60 |
DisclosureSEC source: 0001397911-19-000023 · wf-form4_155123505402487.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,276 Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 23:12 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 40,000 | $0.00 Strike: $22.08 | $0.00 |
DisclosureSEC source: 0001397911-19-000012 · wf-form4_155009956446883.xml · derivative · entry 3 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 40,000 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. F4 · derivative.exercise_date: This option became exercisable in five installments, beginning September 14, 2010, which was the first anniversary date on which it was granted. The option became fully vested on September 14, 2014. Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 23:12 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 40,000 | $76.94 | $3,077,600.00 |
DisclosureSEC source: 0001397911-19-000012 · wf-form4_155009956446883.xml · nonDerivative · entry 2 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,691 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 December 12, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.81 to $77.145, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4. F3 · balance_after: Consists of (i) 9,570 shares of Common Stock; (ii) 2,762 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) 1,626 restricted stock units that vest in full on June 13, 2019; (v) 2,795 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 2,827 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 23:12 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 40,000 | $22.08 | $883,200.00 |
DisclosureSEC source: 0001397911-19-000012 · wf-form4_155009956446883.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,691 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, 2018 Filed Jun 15, 2018 22:12 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,627 | $70.20 | $114,215.40 |
DisclosureSEC source: 0001397911-18-000150 · wf-form4_152910072245283.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,691 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 November 28, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.99 to $70.46, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4. F3 · balance_after: Consists of (i) 9,570 shares of Common Stock; (ii) 2,762 restricted stock units that vest in full on February 25, 2019; (ii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 1,626 restricted stock units that vest in full on June 13, 2019; (v) 2,795 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 2,827 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| March 14, 2018 Filed Mar 16, 2018 01:54 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,398 | $64.76 | $90,534.48 |
DisclosureSEC source: 0001397911-18-000071 · wf-form4_152116528168768.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,318 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 November 28, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.50 to $65.12, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4. F3 · balance_after: Consists of (i) 9,570 shares of Common Stock; (ii) 2,762 restricted stock units that vest in full on February 25, 2019; (ii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 3,253 restricted stock units that vest ratably on each of June 13, 2018 and June 13, 2019; (v) 2,795 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 2,827 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| March 07, 2018 Filed Mar 9, 2018 00:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,397 | $63.16 | $151,394.52 |
DisclosureSEC source: 0001397911-18-000047 · wf-form4_152055505980279.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,716 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 November 28, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.90 to $63.60, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4. F3 · balance_after: Consists of (i) 9,570 shares of Common Stock; (ii) 2,762 restricted stock units that vest in full on February 25, 2019; (ii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 3,253 restricted stock units that vest ratably on each of June 13, 2018 and June 13, 2019; (v) 4,193 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020; and (vi) 2,827 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 00:56 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,764 | $65.20 | $180,212.80 |
DisclosureSEC source: 0001397911-18-000025 · wf-form4_151977938336218.xml · nonDerivative · entry 2 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,113 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 November 28, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.03 to $65.40, 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. F4 · balance_after: Consists of (i) 9,570 shares of Common Stock; (ii) 856 restricted stock units that vest in full on March 6, 2018; (iii) 1,541 restricted stock units that vest in full on March 6, 2018; (iv) 2,762 restricted stock units that vest in full on February 25, 2019; (v) 3,111 restricted stock units that vest in full on February 25, 2019; (vi) 3,253 restricted stock units that vest ratably on each of June 13, 2018 and June 13, 2019; (vii) 4,193 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020; and (viii) the restricted stock units reported on this Form 4. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 00:56 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 8,745 | $0.00 Strike: $65.50 | $0.00 |
DisclosureSEC source: 0001397911-18-000025 · wf-form4_151977938336218.xml · derivative · entry 3 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,745 Underlying: Common Stock · 8,745 shares Expires 2028-02-23 F5 · 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 00:56 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,827 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000025 · wf-form4_151977938336218.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,877 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 |
| February 05, 2018 Filed Feb 7, 2018 22:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 10,000 | $0.00 Strike: $27.17 | $0.00 |
DisclosureSEC source: 0001397911-18-000007 · wf-form4_151804380246367.xml · derivative · entry 5 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2018-06-10 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: This option became exercisable in five installments, beginning on June 10, 2009, which was the first anniversary of the date on which it was granted. The option became fully vested on June 10, 2013. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 22:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,500 | $63.17 | $157,925.00 |
DisclosureSEC source: 0001397911-18-000007 · wf-form4_151804380246367.xml · nonDerivative · entry 4 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,050 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $63.04 to $63.38, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4. F5 · balance_after: Consists of (i) 9,570 shares of Common Stock; (ii) 856 restricted stock units that vest in full on March 6, 2018; (iii) 1,541 restricted stock units that vest in full on March 6, 2018; (iv) 5,526 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; (vi) 3,253 restricted stock units that vest ratably on each of June 13, 2018 and June 13, 2019; and (vii) 4,193 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 22:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 7,100 | $62.49 | $443,679.00 |
DisclosureSEC source: 0001397911-18-000007 · wf-form4_151804380246367.xml · nonDerivative · entry 3 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,550 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $62.04 to $63.03, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, 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 05, 2018 Filed Feb 7, 2018 22:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 400 | $61.16 | $24,464.00 |
DisclosureSEC source: 0001397911-18-000007 · wf-form4_151804380246367.xml · nonDerivative · entry 2 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,650 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 November 28, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $60.57 to $61.36, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc. ("Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission ("SEC"), 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 05, 2018 Filed Feb 7, 2018 22:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 10,000 | $27.17 | $271,700.00 |
DisclosureSEC source: 0001397911-18-000007 · wf-form4_151804380246367.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,050 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 13, 2017 Filed Jun 15, 2017 23:59 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 559 | $42.08 | $23,522.72 |
DisclosureSEC source: 0001397911-17-000151 · wf-form4_149757116752716.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,050 F1 · balance_after: Consists of (i) 9,570 shares of Common Stock; (ii) 856 restricted stock units that vest in full on March 6, 2018; (iii) 1,541 restricted stock units that vest in full on March 6, 2018; (iv) 5,526 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; (vi) 3,253 restricted stock units that vest ratably on each of June 13, 2018 and June 13, 2019; and (vii) 4,193 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 01:22 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 14,676 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-17-000073 · wf-form4_148962731310822.xml · derivative · entry 2 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,676 Underlying: Common Stock · 14,676 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 01:22 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 4,193 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000073 · wf-form4_148962731310822.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,609 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) 8,502 shares of Common Stock; (ii) 856 restricted stock units that vest in full on March 6, 2018; (iii) 1,541 restricted stock units that vest in full on March 6, 2018; (iv) 5,526 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; (vi) 4,880 restricted stock units that vest ratably on each of June 13, 2017, June 13, 2018 and June 13, 2019; and (vii) the restricted stock units reported on this Form 4. Read SEC document |
| March 06, 2017 Filed Mar 9, 2017 01:17 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 295 | $39.30 | $11,593.50 |
DisclosureSEC source: 0001397911-17-000053 · wf-form4_148902222058102.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,416 F1 · balance_after: Consists of (i) 8,502 shares of Common Stock; (ii) 856 restricted stock units that vest in full on March 6, 2018; (iii) 1,541 restricted stock units that vest in full on March 6, 2018; (iv) 5,526 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) 4,880 restricted stock units that vest ratably on each of June 13, 2017, June 13, 2018 and June 13, 2019. Read SEC document |
| February 25, 2017 Filed Mar 1, 2017 01:36 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 950 | $39.13 | $37,173.50 |
DisclosureSEC source: 0001397911-17-000037 · wf-form4_148833218064998.xml · nonDerivative · entry 2 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,711 F1 · balance_after: Consists of (i) 7,941 shares of Common Stock; (ii) 1,712 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (iii) 1,541 restricted stock units that vest in full on March 6, 2018; (iv) 5,526 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) 4,880 restricted stock units that vest ratably on each of June 13, 2017, June 13, 2018, and June 13, 2019. Read SEC document |
| February 24, 2017 Filed Mar 1, 2017 01:36 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 232 | $39.13 | $9,078.16 |
DisclosureSEC source: 0001397911-17-000037 · wf-form4_148833218064998.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,661 Read SEC document |
| February 23, 2017 Filed Feb 24, 2017 02:48 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 30,000 | $0.00 Strike: $25.50 | $0.00 |
DisclosureSEC source: 0001397911-17-000020 · wf-form4_148790447409477.xml · derivative · entry 4 Kalbaugh John Andrew · CIK 0001548546 · MD, Divisional President NSC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2017-08-20 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: This option became exercisable in five installments, beginning on August 20, 2008, which was the first anniversary of the date on which it was granted. The option became fully vested on August 20, 2012. Read SEC document |
| February 23, 2017 Filed Feb 24, 2017 02:48 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 30,000 | $39.73 | $1,191,900.00 |
DisclosureSEC source: 0001397911-17-000020 · wf-form4_148790447409477.xml · nonDerivative · entry 3 Kalbaugh John Andrew · CIK 0001548546 · MD, Divisional President NSC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,893 Read SEC document |
| February 23, 2017 Filed Feb 24, 2017 02:48 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 30,000 | $25.50 | $765,000.00 |
DisclosureSEC source: 0001397911-17-000020 · wf-form4_148790447409477.xml · nonDerivative · entry 2 Kalbaugh John Andrew · CIK 0001548546 · MD, Divisional President NSC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,893 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 24, 2017 02:48 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 345 | $40.16 | $13,855.20 |
DisclosureSEC source: 0001397911-17-000020 · wf-form4_148790447409477.xml · nonDerivative · entry 1 Kalbaugh John Andrew · CIK 0001548546 · MD, Divisional President NSC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,893 F1 · balance_after: Consists of (i) 5,684 shares of Common Stock; (ii) 675 restricted stock units that vest in full on February 24, 2017; (iii) 1,712 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (iv) 1,541 restricted stock units that vest in full on March 6, 2018; (v) 8,290 restricted stock units that vest ratably on each of February 25, 2017, February 25, 2018 and February 25, 2019; (vi) 3,111 restricted stock units that vest in full on February 25, 2019; and (vii) 4,880 restricted stock units that vest ratably on each of June 13, 2017, June 13, 2018 and June 13, 2019. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.