Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
LPL Financial Holdings Inc.
Report date March 13, 2019 · Filed March 15, 2019
Section 16 reporting ended · disclosed 2019-03-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 17,293 |
Reported balance
After 2019-03-13 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-03-13 · Tax withholding · Disposed 982 · Balance 17,293 |
| Common StockSEC Table I · non-derivative | Direct | 32,231 |
Reported balance
After 2019-03-14 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2019-03-14 · Exercise / conversion · Acquired 14,938 · Balance 32,231 |
| Common StockSEC Table I · non-derivative | Direct | 39,157 |
Reported balance
After 2019-03-14 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2019-03-14 · Exercise / conversion · Acquired 6,926 · Balance 39,157 |
| Common StockSEC Table I · non-derivative | Direct | 42,685 |
Reported balance
After 2019-03-14 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2019-03-14 · Exercise / conversion · Acquired 3,528 · Balance 42,685 |
| Common StockSEC Table I · non-derivative | Direct | 17,293 |
Reported balance
After 2019-03-14 transaction · row 5
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 5 · 2019-03-14 · Sale · Disposed 25,392 · Balance 17,293 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.83 to $74.24, 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: Consists of (i) 12,058 shares of Common Stock; (ii) 976 restricted stock units that were originally scheduled to vest in full on June 13, 2019; (iii) 1,979 restricted stock units that were originally scheduled to vest in full on March 13, 2020; and (iv) 2,280 restricted stock units that were originally scheduled to vest ratably on each of February 23, 2020 and February 23, 2021. |
| Option to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $19.85 · Expires 2026-02-25 | Direct | 0 |
Reported balance
After 2019-03-14 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-03-14 · Exercise / conversion · Disposed 14,938 · Balance 0 F3: 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. |
| Option to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $39.48 · Expires 2027-03-13 | Direct | 6,926 |
Reported balance
After 2019-03-14 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-03-14 · Exercise / conversion · Disposed 6,926 · Balance 6,926 F4: This option, representing a right to purchase a total of 20,778 shares, was originally scheduled to become exercisable in three equal installments, beginning on March 13, 2018, which was the first anniversary of the date on which it was granted. |
| Option to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $65.50 · Expires 2028-02-23 | Direct | 7,054 |
Reported balance
After 2019-03-14 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-03-14 · Exercise / conversion · Disposed 3,528 · Balance 7,054 F5: This option, representing a right to purchase a total of 10,582 shares, was originally scheduled to become exercisable in three equal installments, beginning on February 23, 2019, which was the first anniversary of the date on which it was granted. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.83 to $74.24, 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: Consists of (i) 12,058 shares of Common Stock; (ii) 976 restricted stock units that were originally scheduled to vest in full on June 13, 2019; (iii) 1,979 restricted stock units that were originally scheduled to vest in full on March 13, 2020; and (iv) 2,280 restricted stock units that were originally scheduled to vest ratably on each of February 23, 2020 and February 23, 2021.
F3: 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.
F4: This option, representing a right to purchase a total of 20,778 shares, was originally scheduled to become exercisable in three equal installments, beginning on March 13, 2018, which was the first anniversary of the date on which it was granted.
F5: This option, representing a right to purchase a total of 10,582 shares, was originally scheduled to become exercisable in three equal installments, beginning on February 23, 2019, which was the first anniversary of the date on which it was granted.
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 14, 2019 Filed Mar 15, 2019 20:40 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 3,528 | $0.00 Strike: $65.50 | $0.00 |
DisclosureSEC source: 0001397911-19-000039 · wf-form4_155269680528457.xml · derivative · entry 8 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,054 Underlying: Common Stock · 3,528 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. F5 · derivative.exercise_date: This option, representing a right to purchase a total of 10,582 shares, was originally scheduled to become exercisable in three equal installments, beginning on February 23, 2019, which was the first anniversary of the date on which it was granted. Read SEC document |
| March 14, 2019 Filed Mar 15, 2019 20:40 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 6,926 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-19-000039 · wf-form4_155269680528457.xml · derivative · entry 7 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,926 Underlying: Common Stock · 6,926 shares Expires 2027-03-13 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, representing a right to purchase a total of 20,778 shares, was originally scheduled to become exercisable in three equal installments, beginning on March 13, 2018, which was the first anniversary of the date on which it was granted. Read SEC document |
| March 14, 2019 Filed Mar 15, 2019 20:40 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 14,938 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-19-000039 · wf-form4_155269680528457.xml · derivative · entry 6 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,938 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. F3 · 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 |
| March 14, 2019 Filed Mar 15, 2019 20:40 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 25,392 | $74.06 | $1,880,531.52 |
DisclosureSEC source: 0001397911-19-000039 · wf-form4_155269680528457.xml · nonDerivative · entry 5 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,293 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.83 to $74.24, 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) 12,058 shares of Common Stock; (ii) 976 restricted stock units that were originally scheduled to vest in full on June 13, 2019; (iii) 1,979 restricted stock units that were originally scheduled to vest in full on March 13, 2020; and (iv) 2,280 restricted stock units that were originally scheduled to vest ratably on each of February 23, 2020 and February 23, 2021. Read SEC document |
| March 14, 2019 Filed Mar 15, 2019 20:40 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 3,528 | $65.50 | $231,084.00 |
DisclosureSEC source: 0001397911-19-000039 · wf-form4_155269680528457.xml · nonDerivative · entry 4 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,685 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 14, 2019 Filed Mar 15, 2019 20:40 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 6,926 | $39.48 | $273,438.48 |
DisclosureSEC source: 0001397911-19-000039 · wf-form4_155269680528457.xml · nonDerivative · entry 3 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,157 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 14, 2019 Filed Mar 15, 2019 20:40 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 14,938 | $19.85 | $296,519.30 |
DisclosureSEC source: 0001397911-19-000039 · wf-form4_155269680528457.xml · nonDerivative · entry 2 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,231 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 13, 2019 Filed Mar 15, 2019 20:40 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 982 | $74.22 | $72,884.04 |
DisclosureSEC source: 0001397911-19-000039 · wf-form4_155269680528457.xml · nonDerivative · entry 1 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,293 Read SEC document |
| February 25, 2019 Filed Feb 26, 2019 21:35 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 2,451 | $77.53 | $190,026.03 |
DisclosureSEC source: 0001397911-19-000022 · wf-form4_155123493023724.xml · nonDerivative · entry 2 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,275 F1 · balance_after: Consists of (i) 11,061 shares of Common Stock; (ii) 976 restricted stock units that vest in full on June 13, 2019; (iii) 3,958 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (iv) 2,280 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021. Read SEC document |
| February 23, 2019 Filed Feb 26, 2019 21:35 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 566 | $77.04 | $43,604.64 |
DisclosureSEC source: 0001397911-19-000022 · wf-form4_155123493023724.xml · nonDerivative · entry 1 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,726 Read SEC document |
| February 04, 2019 Filed Feb 6, 2019 17:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 6,926 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · derivative · entry 8 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,852 Underlying: Common Stock · 6,926 shares Expires 2027-03-13 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, representing a right to purchase a total of 20,778 shares, becomes exercisable in three equal installments, beginning on March 13, 2018, which was the first anniversary of the date on which it was granted. The option shall become vested with regard to the remaining 13,852 underlying shares on March 13, 2020. Read SEC document |
| February 04, 2019 Filed Feb 6, 2019 17:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 15,938 | $0.00 Strike: $24.38 | $0.00 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · derivative · entry 7 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,969 Underlying: Common Stock · 15,938 shares Expires 2026-06-13 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. F5 · derivative.exercise_date: This option, representing a right to purchase a total of 23,907 shares, becomes exercisable in three equal installments, beginning on June 13, 2017, which was the first anniversary of the date on which it was granted. The option shall become vested with regard to the remaining 7,969 underlying shares on June 13, 2019. Read SEC document |
| February 04, 2019 Filed Feb 6, 2019 17:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 20,576 | $0.00 Strike: $43.74 | $0.00 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · derivative · entry 6 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,576 shares Expires 2025-08-06 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 August 6, 2016, which was the first anniversary of the date on which it was granted. The option became fully vested on August 6, 2018. Read SEC document |
| February 04, 2019 Filed Feb 6, 2019 17:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,100 | $75.06 | $232,686.00 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · nonDerivative · entry 5 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,292 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.055 to $75.09 per share, 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) 7,997 shares of Common Stock; (ii) 1,830 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) 976 restricted stock units that vest in full on June 13, 2019; (v) 3,958 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 3,420 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| February 04, 2019 Filed Feb 6, 2019 17:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 40,340 | $74.81 | $3,017,835.40 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · nonDerivative · entry 4 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,392 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.05 to $75.03 per share, 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 |
| February 04, 2019 Filed Feb 6, 2019 17:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 6,926 | $39.48 | $273,438.48 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · nonDerivative · entry 3 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,732 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 04, 2019 Filed Feb 6, 2019 17:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 15,938 | $24.38 | $388,568.44 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · nonDerivative · entry 2 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,806 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 04, 2019 Filed Feb 6, 2019 17:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 20,576 | $43.74 | $899,994.24 |
DisclosureSEC source: 0001397911-19-000010 · wf-form4_154949359061645.xml · nonDerivative · entry 1 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,868 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 |
| December 12, 2018 Filed Dec 14, 2018 20:00 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 29,876 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-18-000219 · wf-form4_154483560615304.xml · derivative · entry 3 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,938 Underlying: Common Stock · 29,876 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. F3 · derivative.exercise_date: This option, representing a right to purchase a total of 44,814 shares, becomes exercisable in three equal installments, beginning on February 25, 2017, which was the first anniversary of the date on which it was granted. The option shall become vested with regard to the remaining 14,938 underlying shares on February 25, 2019. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 20:00 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 29,876 | $60.72 | $1,814,070.72 |
DisclosureSEC source: 0001397911-18-000219 · wf-form4_154483560615304.xml · nonDerivative · entry 2 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,292 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.62 to $61.25 per share, 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) 7,997 shares of Common Stock; (ii) 1,830 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) 976 restricted stock units that vest in full on June 13, 2019; (v) 3,958 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 3,420 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 20:00 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 29,876 | $19.85 | $593,038.60 |
DisclosureSEC source: 0001397911-18-000219 · wf-form4_154483560615304.xml · nonDerivative · entry 1 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,168 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 |
| August 06, 2018 Filed Aug 8, 2018 17:46 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 1,134 | $67.22 | $76,227.48 |
DisclosureSEC source: 0001397911-18-000161 · wf-form4_153376478816194.xml · nonDerivative · entry 1 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,292 F1 · balance_after: Consists of (i) 7,997 shares of Common Stock; (ii) 1,830 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) 976 restricted stock units that vest in full on June 13, 2019; (v) 3,958 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 3,420 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| June 13, 2018 Filed Jun 15, 2018 18:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 484 | $70.49 | $34,117.16 |
DisclosureSEC source: 0001397911-18-000148 · wf-form4_152910004501799.xml · nonDerivative · entry 1 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,426 F1 · balance_after: Consists of (i) 6,845 shares of Common Stock; (ii) 2,286 restricted stock units that vest in full on August 6, 2018; (iii) 1,830 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) 976 restricted stock units that vest in full on June 13, 2019; (vi) 3,958 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vii) 3,420 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 15, 2018 21:35 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 960 | $64.99 | $62,390.40 |
DisclosureSEC source: 0001397911-18-000061 · wf-form4_152116411963280.xml · nonDerivative · entry 1 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,910 F1 · balance_after: Consists of (i) 6,353 shares of Common Stock; (ii) 2,286 restricted stock units that vest in full on August 6, 2018; (iii) 1,830 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) 1,952 restricted stock units that vest ratably on each of June 13, 2018 and June 13, 2019; (vi) 3,958 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; (vii) and 3,420 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 27, 2018 19:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 654 | $65.50 | $42,837.00 |
DisclosureSEC source: 0001397911-18-000023 · wf-form4_151977882553323.xml · nonDerivative · entry 2 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,870 F2 · balance_after: Consists of (i) 5,334 shares of Common Stock; (ii) 2,286 restricted stock units that vest in full on August 6, 2018; (iii) 1,830 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) 1,952 restricted stock units that vest ratably on each of June 13, 2018 and June 13, 2019; (vi) 5,937 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 in this Form 4. Read SEC document |
| February 23, 2018 Filed Feb 27, 2018 19:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 10,582 | $0.00 Strike: $65.50 | $0.00 |
DisclosureSEC source: 0001397911-18-000023 · wf-form4_151977882553323.xml · derivative · entry 3 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,582 Underlying: Common Stock · 10,582 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 27, 2018 19:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 3,420 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000023 · wf-form4_151977882553323.xml · nonDerivative · entry 1 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,524 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 |
| August 06, 2017 Filed Aug 8, 2017 17:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 1,193 | $46.11 | $55,009.23 |
DisclosureSEC source: 0001397911-17-000160 · wf-form4_150222720259661.xml · nonDerivative · entry 1 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,104 F1 · balance_after: Consists of (i) 4,158 shares of Common Stock; (ii) 2,286 restricted stock units that vest in full on August 6, 2018; (iii) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; (v) 1,952 restricted stock units that vest ratably on each of June 13, 2018 and June 13, 2019; and (vi) 5,937 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020. Read SEC document |
| June 13, 2017 Filed Jun 15, 2017 19:54 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 510 | $42.08 | $21,460.80 |
DisclosureSEC source: 0001397911-17-000149 · wf-form4_149757087525667.xml · nonDerivative · entry 1 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,297 F1 · balance_after: Consists of (i) 3,065 shares of Common Stock; (ii) 4,572 restricted stock units that vest ratably on each of August 6, 2017 and August 6, 2018; (iii) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; (v) 1,952 restricted stock units that vest ratably on each of June 13, 2018 and June 13, 2019; and (vi) 5,937 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 15, 2017 21:14 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 20,778 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-17-000071 · wf-form4_148962684948166.xml · derivative · entry 2 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,778 Underlying: Common Stock · 20,778 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 15, 2017 21:14 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 5,937 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000071 · wf-form4_148962684948166.xml · nonDerivative · entry 1 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,807 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) 2,599 shares of Common Stock; (ii) 4,572 restricted stock units that vest ratably on each of August 6, 2017 and August 6, 2018; (iii) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; (v) 2,928 restricted stock units that vest ratably on each of June 13, 2017, June 13, 2018 and June 13, 2019; and (vi) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2017 Filed Feb 28, 2017 20:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 760 | $39.13 | $29,738.80 |
DisclosureSEC source: 0001397911-17-000035 · wf-form4_148833185649591.xml · nonDerivative · entry 1 Gooley Thomas · CIK 0001647085 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,870 F1 · balance_after: Consists of (i) 2,599 shares of Common Stock; (ii) 4,572 restricted stock units that vest ratably on August 6, 2017 and August 6, 2018; (iii) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 2,928 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.