Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LPL Financial Holdings Inc.LPLA · Entity 3160 | Managing Director | November 25, 2019 | November 26, 2019 |
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 November 25, 2019 · Filed November 26, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 8,089 |
Reported balance
After 2019-11-22 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-11-22 · Gift · Disposed 1,513.858 · Balance 8,089 F1: This transaction was a charitable gift of securities by the reporting person. The gifted shares include 13.858 shares acquired under the Issuer's Dividend Reinvestment Plan. |
| Common StockSEC Table I · non-derivative | Direct | 21,270 |
Reported balance
After 2019-11-25 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2019-11-25 · Exercise / conversion · Acquired 13,181 · Balance 21,270 |
| Common StockSEC Table I · non-derivative | Direct | 8,089 |
Reported balance
After 2019-11-25 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2019-11-25 · Sale · Disposed 13,181 · Balance 8,089 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.51 to $91.85, 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) 4,677 shares of Common Stock; (ii) 804 restricted stock units that vest in full on March 13, 2020; (iii) 1,042 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 1,566 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. |
| Option to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $19.85 · Expires 2026-02-25 | Direct | 5,939 |
Reported balance
After 2019-11-25 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-11-25 · Exercise / conversion · Disposed 13,181 · Balance 5,939 F4: This option became exercisable in three installments, beginning February 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was a charitable gift of securities by the reporting person. The gifted shares include 13.858 shares acquired under the Issuer's Dividend Reinvestment Plan.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.51 to $91.85, 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) 4,677 shares of Common Stock; (ii) 804 restricted stock units that vest in full on March 13, 2020; (iii) 1,042 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 1,566 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.
F4: This option became exercisable in three installments, beginning February 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2019.
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 25, 2019 Filed Nov 26, 2019 22:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 13,181 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-19-000174 · wf-form4_157480641987712.xml · derivative · entry 4 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,939 Underlying: Common Stock · 13,181 shares Expires 2026-02-25 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 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2019. Read SEC document |
| November 25, 2019 Filed Nov 26, 2019 22:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 13,181 | $91.60 | $1,207,379.60 |
DisclosureSEC source: 0001397911-19-000174 · wf-form4_157480641987712.xml · nonDerivative · entry 3 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,089 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.51 to $91.85, 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) 4,677 shares of Common Stock; (ii) 804 restricted stock units that vest in full on March 13, 2020; (iii) 1,042 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 1,566 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| November 25, 2019 Filed Nov 26, 2019 22:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 13,181 | $19.85 | $261,642.85 |
DisclosureSEC source: 0001397911-19-000174 · wf-form4_157480641987712.xml · nonDerivative · entry 2 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,270 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 22, 2019 Filed Nov 26, 2019 22:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 1,513.858 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000174 · wf-form4_157480641987712.xml · nonDerivative · entry 1 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,089 F1 · kind: This transaction was a charitable gift of securities by the reporting person. The gifted shares include 13.858 shares acquired under the Issuer's Dividend Reinvestment Plan. Read SEC document |
| May 08, 2019 Filed May 10, 2019 20:52 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 500 | $84.25 | $42,125.00 |
DisclosureSEC source: 0001397911-19-000073 · wf-form4_155752152592296.xml · nonDerivative · entry 1 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,589 F1 · balance_after: Consists of (i) 6,177 shares of Common Stock; (ii) 804 restricted stock units that vest in full on March 13, 2020; (iii) 1,042 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 1,566 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 00:32 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 373 | $74.22 | $27,684.06 |
DisclosureSEC source: 0001397911-19-000037 · wf-form4_155269633799720.xml · nonDerivative · entry 1 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,089 F1 · balance_after: Consists of (i) 6,677 shares of Common Stock; (ii) 804 restricted stock units that vest in full on March 13, 2020; (iii) 1,042 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 1,566 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 26, 2019 Filed Feb 27, 2019 02:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 10,747 | $77.34 | $831,172.98 |
DisclosureSEC source: 0001397911-19-000021 · wf-form4_155123468398816.xml · nonDerivative · entry 4 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,462 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.85 to $77.76, 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) 6,246 shares of Common Stock; (ii) 1,608 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; (iii) 1,042 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 02:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 4,700 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000021 · wf-form4_155123468398816.xml · derivative · entry 5 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,700 Underlying: Common Stock · 4,700 shares Expires 2029-02-25 F4 · 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 02:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,566 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000021 · wf-form4_155123468398816.xml · nonDerivative · entry 3 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,209 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. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 422 | $77.53 | $32,717.66 |
DisclosureSEC source: 0001397911-19-000021 · wf-form4_155123468398816.xml · nonDerivative · entry 2 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,643 Read SEC document |
| February 23, 2019 Filed Feb 27, 2019 02:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 191 | $77.04 | $14,714.64 |
DisclosureSEC source: 0001397911-19-000021 · wf-form4_155123468398816.xml · nonDerivative · entry 1 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,065 Read SEC document |
| May 07, 2018 Filed May 9, 2018 21:40 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 7,388 | $64.54 | $476,821.52 |
DisclosureSEC source: 0001397911-18-000106 · wf-form4_152590204593608.xml · nonDerivative · entry 1 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,256 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.50 to $64.68, 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. F2 · balance_after: Consists of (i) 5,167 shares of Common Stock; (ii) 10,747 restricted stock units that vest in full on February 25, 2019; (iii) 1,171 restricted stock units that vest in full on February 25, 2019; (iv) 1,608 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 1,563 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 01:30 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 253 | $64.99 | $16,442.47 |
DisclosureSEC source: 0001397911-18-000059 · wf-form4_152116379389125.xml · nonDerivative · entry 1 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,644 F1 · balance_after: Consists of (i) 12,555 shares of Common Stock; (ii) 10,747 restricted stock units that vest in full on February 25, 2019; (iii) 1,171 restricted stock units that vest in full on February 25, 2019; (iv) 1,608 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 1,563 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 00:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 3,778 | $65.50 | $247,459.00 |
DisclosureSEC source: 0001397911-18-000021 · wf-form4_151977844341586.xml · nonDerivative · entry 2 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,897 F2 · balance_after: Consists of (i) 12,004 shares of Common Stock; (ii) 10,747 restricted stock units that vest in full on February 25, 2019; (iii) 1,171 restricted stock units that vest in full on February 25, 2019; (iv) 2,412 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020; and (v) the restricted stock units reported in this Form 4. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 00:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 4,837 | $0.00 Strike: $65.50 | $0.00 |
DisclosureSEC source: 0001397911-18-000021 · wf-form4_151977844341586.xml · derivative · entry 3 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,837 Underlying: Common Stock · 4,837 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 00:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,563 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000021 · wf-form4_151977844341586.xml · nonDerivative · entry 1 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,675 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 |
| March 13, 2017 Filed Mar 16, 2017 01:07 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 8,443 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-17-000069 · wf-form4_148962641266367.xml · derivative · entry 5 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,443 Underlying: Common Stock · 8,443 shares Expires 2027-03-13 F5 · 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 01:07 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 9,561 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-17-000069 · wf-form4_148962641266367.xml · derivative · entry 4 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,120 Underlying: Common Stock · 9,561 shares Expires 2026-02-25 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 9,561 shares on February 25, 2017, which was the first anniversary of the grant date. The remaining shares become exercisable ratably on each of February 25, 2018 and February 25, 2019. Read SEC document |
| March 13, 2017 Filed Mar 16, 2017 01:07 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,412 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000069 · wf-form4_148962641266367.xml · nonDerivative · entry 3 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,112 F2 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest 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. F3 · balance_after: Consists of (i) 3,864 shares of Common Stock; (ii) 21,494 restricted stock units that vest ratably on each February 25, 2018 and February 25, 2019; (iii) 2,342 restricted stock units that vest ratably on each February 25, 2018 and February 25, 2019; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| March 13, 2017 Filed Mar 16, 2017 01:07 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 6,465 | $39.31 | $254,117.17 |
DisclosureSEC source: 0001397911-17-000069 · wf-form4_148962641266367.xml · nonDerivative · entry 2 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,700 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.15 to $39.535, inclusive. The reporting person undertakes to provide to 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 footnotes to this Form 4. Read SEC document |
| March 13, 2017 Filed Mar 16, 2017 01:07 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 9,561 | $19.85 | $189,785.85 |
DisclosureSEC source: 0001397911-17-000069 · wf-form4_148962641266367.xml · nonDerivative · entry 1 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,165 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 27, 2017 Filed Mar 1, 2017 01:21 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 10,747 | $39.05 | $419,720.86 |
DisclosureSEC source: 0001397911-17-000031 · wf-form4_148833125246554.xml · nonDerivative · entry 2 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,604 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $38.83 to $39.265, 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. F2 · balance_after: Consists of (i) 768 shares of Common Stock; (ii) 21,494 restricted stock units that vest ratably on each February 25, 2018 and February 25, 2019; and (iii) 2,342 restricted stock units that vest ratably on each February 25, 2018 and February 25, 2019. Read SEC document |
| February 25, 2017 Filed Mar 1, 2017 01:21 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 403 | $39.13 | $15,769.39 |
DisclosureSEC source: 0001397911-17-000031 · wf-form4_148833125246554.xml · nonDerivative · entry 1 Calder Tracy · CIK 0001665253 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,351 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.