person · Reporting owner
Morrissey William P. Jr.
Disclosed activity across 1 company
Sign in to followReported 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, 2018 | March 16, 2018 |
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, 2018 · Filed March 16, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 18,091 |
Reported balance
After 2018-03-13 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-03-13 · Tax withholding · Disposed 400 · Balance 18,091 F1: Consists of (i) 8,482 shares of Common Stock; (ii) 2,232 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) 2,312 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 1,954 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of (i) 8,482 shares of Common Stock; (ii) 2,232 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) 2,312 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 1,954 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 13, 2018 Filed Mar 16, 2018 01:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 400 | $64.99 | $25,996.00 |
DisclosureSEC source: 0001397911-18-000065 · wf-form4_152116456086720.xml · nonDerivative · entry 1 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,091 F1 · balance_after: Consists of (i) 8,482 shares of Common Stock; (ii) 2,232 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) 2,312 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 1,954 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| March 06, 2018 Filed Mar 9, 2018 00:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 231 | $64.27 | $14,846.37 |
DisclosureSEC source: 0001397911-18-000051 · wf-form4_152055583093015.xml · nonDerivative · entry 1 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,491 F1 · balance_after: Consists of (i) 7,726 shares of Common Stock; (ii) 2,232 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) 3,468 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020; and (v) 1,954 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 01:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 773 | $65.50 | $50,631.50 |
DisclosureSEC source: 0001397911-18-000029 · wf-form4_151978128018559.xml · nonDerivative · entry 2 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,722 F2 · balance_after: Consists of (i) 7,291 shares of Common Stock; (ii) 666 restricted stock units that vest in full on March 6, 2018; (iii) 2,232 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) 3,468 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020; and (vi) the restricted stock units reported on this Form 4. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 01:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 6,047 | $0.00 Strike: $65.50 | $0.00 |
DisclosureSEC source: 0001397911-18-000029 · wf-form4_151978128018559.xml · derivative · entry 3 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,047 Underlying: Common Stock · 6,047 shares Expires 2028-02-23 F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 01:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,954 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000029 · wf-form4_151978128018559.xml · nonDerivative · entry 1 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,495 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 22:59 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 20,000 | $0.00 Strike: $27.80 | $0.00 |
DisclosureSEC source: 0001397911-18-000009 · wf-form4_151804433896633.xml · derivative · entry 5 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2018-02-05 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 became exercisable in five equal installments, beginning on February 5, 2009, which was the first anniversary of the date on which it was granted. The option became fully vested on February 5, 2013. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 22:59 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 11,703 | $63.09 | $738,342.27 |
DisclosureSEC source: 0001397911-18-000009 · wf-form4_151804433896633.xml · nonDerivative · entry 4 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,541 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $62.79 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 (3) to this Form 4. F4 · balance_after: Consists of (i) 5,831 shares of Common Stock; (ii) 666 restricted stock units that vest in full on March 6, 2018; (iii) 4,465 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) 3,468 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 22:59 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 7,697 | $62.38 | $480,138.86 |
DisclosureSEC source: 0001397911-18-000009 · wf-form4_151804433896633.xml · nonDerivative · entry 3 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,244 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $61.71 to $62.67, 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 22:59 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 600 | $60.57 | $36,342.00 |
DisclosureSEC source: 0001397911-18-000009 · wf-form4_151804433896633.xml · nonDerivative · entry 2 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,941 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 6, 2017. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 22:59 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 20,000 | $27.80 | $556,000.00 |
DisclosureSEC source: 0001397911-18-000009 · wf-form4_151804433896633.xml · nonDerivative · entry 1 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,541 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 02, 2017 Filed Jun 6, 2017 00:12 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 32,150 | $0.00 Strike: $21.60 | $0.00 |
DisclosureSEC source: 0001397911-17-000145 · wf-form4_149670792525108.xml · derivative · entry 3 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 32,150 shares Expires 2017-06-07 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 five equal installments, beginning on June 7, 2008, which was the first anniversary of the date on which it was granted. The option became fully vested on June 7, 2012. Read SEC document |
| June 02, 2017 Filed Jun 6, 2017 00:12 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 32,150 | $39.34 | $1,264,781.00 |
DisclosureSEC source: 0001397911-17-000145 · wf-form4_149670792525108.xml · nonDerivative · entry 2 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,541 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $39.23 to $39.55, 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) 5,831 shares of Common Stock; (ii) 666 restricted stock units that vest in full on March 6, 2018; (iii) 4,465 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) 3,468 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020. Read SEC document |
| June 02, 2017 Filed Jun 6, 2017 00:12 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 32,150 | $21.60 | $694,440.00 |
DisclosureSEC source: 0001397911-17-000145 · wf-form4_149670792525108.xml · nonDerivative · entry 1 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,691 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 |
| March 13, 2017 Filed Mar 16, 2017 01:32 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 12,137 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-17-000077 · wf-form4_148962795510540.xml · derivative · entry 2 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,137 Underlying: Common Stock · 12,137 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 01:32 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 3,468 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000077 · wf-form4_148962795510540.xml · nonDerivative · entry 1 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,541 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) 5,831 shares of Common Stock; (ii) 666 restricted stock units that vest in full on March 6, 2018; (iii) 4,465 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) the restricted stock units reported on this Form 4. Read SEC document |
| March 06, 2017 Filed Mar 9, 2017 01:27 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 252 | $39.30 | $9,903.60 |
DisclosureSEC source: 0001397911-17-000057 · wf-form4_148902283642882.xml · nonDerivative · entry 1 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,073 F1 · balance_after: Consists of (i) 5,831 shares of Common Stock; (ii) 666 restricted stock units that vest in full on March 6, 2018; (iii) 4,465 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; and (iv) 3,111 restricted stock units that vest in full on February 25, 2019. Read SEC document |
| February 25, 2017 Filed Mar 1, 2017 01:45 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 859 | $39.13 | $33,612.67 |
DisclosureSEC source: 0001397911-17-000041 · wf-form4_148833270368249.xml · nonDerivative · entry 2 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,325 F1 · balance_after: Consists of (i) 5,415 shares of Common Stock; (ii) 1,334 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (iii) 4,465 restricted stock units that vest ratably on February 25, 2018 and February 25, 2019; and (iv) 3,111 restricted stock units that vest in full on February 25, 2019. Read SEC document |
| February 24, 2017 Filed Mar 1, 2017 01:45 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 203 | $39.13 | $7,943.39 |
DisclosureSEC source: 0001397911-17-000041 · wf-form4_148833270368249.xml · nonDerivative · entry 1 Morrissey William P. Jr. · CIK 0001606128 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,184 Read SEC document |
| February 22, 2017 Filed Feb 24, 2017 02:51 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 261 | $40.16 | $10,481.76 |
DisclosureSEC source: 0001397911-17-000022 · wf-form4_148790465807531.xml · nonDerivative · entry 1 Morrissey William P. Jr. · CIK 0001606128 · MD, Divisional President BD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,387 F1 · balance_after: Consists of (i) 3,782 shares of Common Stock; (ii) 462 restricted stock units that vest on February 24, 2017; (iii) 1,334 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (iv) 6,698 restricted stock units that vest ratable on February 25, 2017, February 25, 2018, and February 25, 2019; and (v) 3,111 restricted stock units that vest on February 25, 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.