Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LPL Financial Holdings Inc.LPLA · Entity 3160 | Director | August 28, 2026 | September 01, 2026 |
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 August 28, 2026 · Filed September 01, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 135,297.5 |
Reported balance
After 2026-08-28 transaction · row 1
1 source rowRow 1 · 2026-08-28 · Grant · Acquired 7 · Balance 135,297.5 F1: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.
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 |
|---|---|---|---|---|---|---|
| August 28, 2026 Filed Sep 1, 2026 20:14 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 7 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-059832 · wk-form4_1788293664.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 135,297.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| August 03, 2026 Filed Aug 4, 2026 20:16 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-052599 · wk-form4_1785874607.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 135,290.5 F1 · kind: This transaction was a charitable gift of securities by the reporting person. Read SEC document |
| June 04, 2026 Filed Jun 8, 2026 20:11 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 10 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-041550 · wk-form4_1780949508.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 137,290.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| May 15, 2026 Filed May 19, 2026 20:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 712 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-036482 · wk-form4_1779222348.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 137,280.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 20, 2027. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy. Read SEC document |
| May 07, 2026 Filed May 8, 2026 20:09 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-032865 · wk-form4_1778270938.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,568.5 F1 · kind: This transaction was a charitable gift of securities by the reporting person. Read SEC document |
| March 24, 2026 Filed Mar 26, 2026 20:17 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 10 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-021434 · wk-form4_1774556251.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,668.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| December 01, 2025 Filed Dec 3, 2025 21:46 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 7 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-055082 · wk-form4_1764798401.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,658.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| August 29, 2025 Filed Sep 3, 2025 20:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 7 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-25-000139 · wk-form4_1756932274.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,651.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| June 12, 2025 Filed Jun 16, 2025 20:22 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 6 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-25-000107 · wk-form4_1750105345.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,644.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| May 23, 2025 Filed May 28, 2025 20:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 602 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-25-000082 · wk-form4_1748465432.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,638.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 13, 2026. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy. Read SEC document |
| March 25, 2025 Filed Mar 26, 2025 20:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 8 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-25-000051 · wk-form4_1743020313.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,036.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| December 02, 2024 Filed Dec 4, 2024 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 8 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-24-000154 · wk-form4_1733348569.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,028.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| August 23, 2024 Filed Aug 27, 2024 20:45 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 16 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-24-000124 · wk-form4_1724791520.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,020.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| June 04, 2024 Filed Jun 6, 2024 20:58 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 10 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-24-000089 · wk-form4_1717707515.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 136,004.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| May 10, 2024 Filed May 14, 2024 20:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 699 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-24-000071 · wk-form4_1715719454.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 135,994.5 F1 · shares: These shares represent restricted stock that was granted under the Issuer's 2021 Omnibus Equity Incentive Plan pursuant to the Issuer's Non-Employee Director Compensation Policy. This restricted stock is scheduled to vest in full on May 21, 2025. Read SEC document |
| March 26, 2024 Filed Mar 28, 2024 20:35 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 12 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-24-000041 · wk-form4_1711658115.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 135,295.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| November 27, 2023 Filed Nov 29, 2023 22:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 14 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000178 · wk-form4_1701296397.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 135,283.5 F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| November 27, 2023 Filed Nov 29, 2023 22:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000178 · wk-form4_1701296397.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 135,269.5 F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 8, 2024. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| August 25, 2023 Filed Aug 29, 2023 22:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 14 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000139 · wk-form4_1693347193.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 135,268.5 F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| August 25, 2023 Filed Aug 29, 2023 22:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000139 · wk-form4_1693347193.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 135,254.5 F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 8, 2024. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| June 01, 2023 Filed Jun 5, 2023 20:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 17 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000107 · wk-form4_1685998230.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 135,253.5 F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| June 01, 2023 Filed Jun 5, 2023 20:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000107 · wk-form4_1685998230.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 135,236.5 F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 8, 2024. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| May 12, 2023 Filed May 16, 2023 20:06 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 506 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000093 · wf-form4_168426759990112.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 135,235.5 F2 · shares: The reporting person elected to receive these shares, which were granted under the 2021 Plan, in lieu of the cash portion of the annual retainer under the Policy. Read SEC document |
| May 12, 2023 Filed May 16, 2023 20:06 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 784 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000093 · wf-form4_168426759990112.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 134,729.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy"). Read SEC document |
| March 28, 2023 Filed Mar 30, 2023 20:21 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 16 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000057 · wf-form4_168020770340133.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 133,945.5 F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| March 28, 2023 Filed Mar 30, 2023 20:21 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000057 · wf-form4_168020770340133.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 133,929.5 F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 10, 2023. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| November 28, 2022 Filed Nov 30, 2022 22:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 10 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000174 · wf-form4_166984806772668.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,928.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| August 31, 2022 Filed Sep 2, 2022 21:09 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 12 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000140 · wf-form4_166215297519467.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,918.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| June 24, 2022 Filed Jun 28, 2022 22:04 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 13 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000109 · wf-form4_165645387709765.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,906.5 F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| June 24, 2022 Filed Jun 28, 2022 22:04 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000109 · wf-form4_165645387709765.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,893.5 F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 10, 2023. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| May 19, 2022 Filed May 23, 2022 22:52 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 525 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000088 · wf-form4_165334635525013.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,892.5 F2 · shares: The reporting person elected to receive these shares, which were granted under the 2021 Plan, in lieu of the cash portion of the annual retainer under the Policy. Read SEC document |
| May 19, 2022 Filed May 23, 2022 22:52 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 814 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000088 · wf-form4_165334635525013.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,367.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 10, 2023. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy"). Read SEC document |
| March 29, 2022 Filed Mar 31, 2022 21:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 13 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000056 · wf-form4_164876097299444.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,553.5 F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| March 29, 2022 Filed Mar 31, 2022 21:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000056 · wf-form4_164876097299444.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,540.5 F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 17, 2022. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 17, 2022. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| November 29, 2021 Filed Dec 1, 2021 21:56 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 15 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000196 · wf-form4_163839575262626.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,539.5 F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| November 29, 2021 Filed Dec 1, 2021 21:56 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000196 · wf-form4_163839575262626.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,524.5 F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 17, 2022. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 17, 2022. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| August 27, 2021 Filed Aug 31, 2021 22:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 17 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000168 · wf-form4_163044889628029.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,523.5 F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| August 27, 2021 Filed Aug 31, 2021 22:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000168 · wf-form4_163044889628029.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,506.5 F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 17, 2022. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 17, 2022. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| June 07, 2021 Filed Jun 9, 2021 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 17 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000132 · wf-form4_162327523603789.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,505.5 F2 · shares: Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| June 07, 2021 Filed Jun 9, 2021 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000132 · wf-form4_162327523603789.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,488.5 F1 · shares: Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 17, 2022. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 17, 2022. The stock unit reported hereby was credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| May 06, 2021 Filed May 11, 2021 00:11 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,051 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000106 · wf-form4_162069185269596.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,487.5 F1 · shares: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 17, 2022. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy. Read SEC document |
| March 30, 2021 Filed Apr 1, 2021 21:02 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 17 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000084 · wf-form4_161731093871552.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,436.5 F1 · shares: 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. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| November 30, 2020 Filed Dec 3, 2020 02:11 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 29 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000219 · wf-form4_160696145305563.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,419.5 F1 · shares: 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. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| August 28, 2020 Filed Sep 1, 2020 22:48 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 32 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000178 · wf-form4_159900046560519.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,390.5 F1 · shares: 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. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| June 12, 2020 Filed Jun 16, 2020 21:38 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 32 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000144 · wf-form4_159234347347648.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,358.5 F1 · shares: 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. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| May 07, 2020 Filed May 11, 2020 22:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,435 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000116 · wf-form4_158923624949421.xml · nonDerivative · entry 2 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,326.5 F2 · shares: The reporting person elected to receive these shares, which were granted under the Plan, in lieu of the cash portion of the annual retainer under the Policy. Read SEC document |
| May 07, 2020 Filed May 11, 2020 22:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,780 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000116 · wf-form4_158923624949421.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,891.5 F1 · shares: These shares represent restricted stock that was granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan ("Plan") pursuant to the Issuer's Non-Employee Director Compensation Policy ("Policy"). This restricted stock is scheduled to vest in full on May 4, 2021. Read SEC document |
| March 31, 2020 Filed Apr 2, 2020 20:58 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 48 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000084 · wf-form4_158586108708431.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,111.5 F1 · shares: 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. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| November 21, 2019 Filed Nov 25, 2019 22:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 29 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000166 · wf-form4_157472222819850.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,063.5 F1 · shares: 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. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. Read SEC document |
| August 23, 2019 Filed Aug 27, 2019 22:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 35 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000133 · wf-form4_156694568957999.xml · nonDerivative · entry 1 Putnam James S · CIK 0001405298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,034.5 F1 · shares: 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. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. 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.