Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LPL Financial Holdings Inc.LPLA · Entity 3160 | Managing Director | March 13, 2017 | March 16, 2017 |
| Lefteris Acquisition Corp.LFTRU · Entity 143056 | General Counsel | October 20, 2020 | October 20, 2020 |
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 March 13, 2017 · Filed March 16, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 43,382 |
Reported balance
After 2017-03-13 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-03-13 · Grant · Acquired 3,769 · Balance 43,382 F1: 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: Consists of (i) 27,479 shares of Common Stock; (ii) 1,578 restricted stock units that vest in full on August 5, 2017; (iii) 2,688 restricted stock units that vest ratably on each of August 5, 2017 and August 5, 2018; (iv) 1,097 restricted stock units that vest in full on March 6, 2018; (v) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (vi) 3,111 restricted stock units that vest in full on February 25, 2019; and (vii) the restricted stock units reported on this Form 4. |
| Option to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $39.48 · Expires 2027-03-13 | Direct | 13,192 |
Reported balance
After 2017-03-13 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-03-13 · Grant · Acquired 13,192 · Balance 13,192 F3: This option becomes exercisable in three equal annual installments on each of March 13, 2018, March 13, 2019 and March 13, 2020. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: Consists of (i) 27,479 shares of Common Stock; (ii) 1,578 restricted stock units that vest in full on August 5, 2017; (iii) 2,688 restricted stock units that vest ratably on each of August 5, 2017 and August 5, 2018; (iv) 1,097 restricted stock units that vest in full on March 6, 2018; (v) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (vi) 3,111 restricted stock units that vest in full on February 25, 2019; and (vii) the restricted stock units reported on this Form 4.
F3: This option becomes exercisable in three equal annual installments on each of March 13, 2018, March 13, 2019 and March 13, 2020.
Lefteris Acquisition Corp.
Report date October 20, 2020 · Filed October 20, 2020
This filing explicitly reported no securities owned.
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 |
|---|---|---|---|---|---|---|
| March 13, 2017 Filed Mar 16, 2017 01:00 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 13,192 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-17-000067 · wf-form4_148962602801173.xml · derivative · entry 2 Bergers David P. · CIK 0001583698 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,192 Underlying: Common Stock · 13,192 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 01:00 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 3,769 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000067 · wf-form4_148962602801173.xml · nonDerivative · entry 1 Bergers David P. · CIK 0001583698 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,382 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) 27,479 shares of Common Stock; (ii) 1,578 restricted stock units that vest in full on August 5, 2017; (iii) 2,688 restricted stock units that vest ratably on each of August 5, 2017 and August 5, 2018; (iv) 1,097 restricted stock units that vest in full on March 6, 2018; (v) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (vi) 3,111 restricted stock units that vest in full on February 25, 2019; and (vii) the restricted stock units reported on this Form 4. Read SEC document |
| March 06, 2017 Filed Mar 9, 2017 01:07 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 518 | $39.30 | $20,357.40 |
DisclosureSEC source: 0001397911-17-000049 · wf-form4_148902164642359.xml · nonDerivative · entry 1 Bergers David P. · CIK 0001583698 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,613 F1 · balance_after: Consists of (i) 27,479 shares of Common Stock; (ii) 1,578 restricted stock units that vest in full on August 5, 2017; (iii) 2,688 restricted stock units that vest ratably on each of August 5, 2017 and August 5, 2018; (iv) 1,097 restricted stock units that vest in full on March 6, 2018; (v) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; and (vi) 3,111 restricted stock units that vest in full on February 25, 2019. Read SEC document |
| February 25, 2017 Filed Mar 1, 2017 01:16 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 614 | $39.13 | $24,025.82 |
DisclosureSEC source: 0001397911-17-000029 · wf-form4_148833099257108.xml · nonDerivative · entry 2 Bergers David P. · CIK 0001583698 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,131 F1 · balance_after: Consists of (i) 26,899 shares of Common Stock; (ii) 1,578 restricted stock units that vest on August 5, 2017; (iii) 2,688 restricted stock units that vest ratably on August 5, 2017 and August 5, 2018; (iv) 2,195 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (v) 3,660 restricted stock units that vest ratably on February 25, 2018 and February 25, 2019; and (vi) 3,111 restricted stock units that vest in full on February 25, 2019. Read SEC document |
| February 24, 2017 Filed Mar 1, 2017 01:16 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 142 | $39.13 | $5,556.46 |
DisclosureSEC source: 0001397911-17-000029 · wf-form4_148833099257108.xml · nonDerivative · entry 1 Bergers David P. · CIK 0001583698 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,745 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.