Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LPL Financial Holdings Inc.LPLA · Entity 3160 | President and CFO | April 14, 2026 | April 16, 2026 |
| VALERO ENERGY CORP/TXVLO · Entity 2908 | Director | September 17, 2026 | October 06, 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 April 14, 2026 · Filed April 16, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 21,052 |
Reported balance
After 2026-04-14 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-04-14 · Sale · Disposed 330 · Balance 21,052 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $325.00 to $325.01, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. |
| Common StockSEC Table I · non-derivative | Direct | 20,913 |
Reported balance
After 2026-04-14 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2026-04-14 · Sale · Disposed 139 · Balance 20,913 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $326.12 to $326.33, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. |
| Common StockSEC Table I · non-derivative | Direct | 20,693 |
Reported balance
After 2026-04-15 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2026-04-15 · Sale · Disposed 220 · Balance 20,693 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $326.93 to $327.47, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. |
| Common StockSEC Table I · non-derivative | Direct | 20,504 |
Reported balance
After 2026-04-15 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2026-04-15 · Sale · Disposed 189 · Balance 20,504 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $328.34 to $328.35, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4. |
| Common StockSEC Table I · non-derivative | Direct | 19,909 |
Reported balance
After 2026-04-15 transaction · row 5
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 5 · 2026-04-15 · Sale · Disposed 595 · Balance 19,909 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $330.69 to $331.56, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4. |
| Common StockSEC Table I · non-derivative | Direct | 19,803 |
Reported balance
After 2026-04-15 transaction · row 6
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 6 · 2026-04-15 · Sale · Disposed 106 · Balance 19,803 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $331.69 to $332.43, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4. F8: Consists of (i) 8,427 shares of Common Stock; (ii) 787 restricted stock units that vest in full on February 25, 2027; (iii) 3,965 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; and (iv) 6,624 restricted stock units that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $325.00 to $325.01, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $326.12 to $326.33, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $326.93 to $327.47, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $328.34 to $328.35, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4.
F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $330.69 to $331.56, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4.
F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $331.69 to $332.43, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4.
F8: Consists of (i) 8,427 shares of Common Stock; (ii) 787 restricted stock units that vest in full on February 25, 2027; (iii) 3,965 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; and (iv) 6,624 restricted stock units that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029.
VALERO ENERGY CORP/TX
Report date September 17, 2026 · Filed October 06, 2026 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectTrust | 115 |
Reported balance
Holding disclosure · report date 2026-09-17 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance 115 F1: This form is being filed to report shares indirectly held by the reporting person in a trust which the reporting person is the Trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: This form is being filed to report shares indirectly held by the reporting person in a trust which the reporting person is the Trustee.
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 |
|---|---|---|---|---|---|---|
| September 17, 2026 Filed Sep 18, 2026 16:45 UTC | VALERO ENERGY CORP/TX VLO · Entity 2908 | GrantStock Units · Derivative | 372 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-062661 · wk-form4_1789749903.xml · derivative · entry 1 Audette Matthew J · CIK 0001435098 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 372 Underlying: Common Stock · 372 shares Expires not disclosed F1 · derivative.exercise_price: Each stock unit represents a right to receive one share of common stock. F2 · derivative.exercise_date: The stock units are scheduled to vest in one year from the date of the grant. F2 · derivative.expiration_date: The stock units are scheduled to vest in one year from the date of the grant. Read SEC document |
| April 15, 2026 Filed Apr 16, 2026 20:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 106 | $332.27 | $35,220.62 |
DisclosureSEC source: 0001628280-26-025520 · wk-form4_1776371131.xml · nonDerivative · entry 6 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 19,803 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $331.69 to $332.43, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4. F8 · balance_after: Consists of (i) 8,427 shares of Common Stock; (ii) 787 restricted stock units that vest in full on February 25, 2027; (iii) 3,965 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; and (iv) 6,624 restricted stock units that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029. Read SEC document |
| April 15, 2026 Filed Apr 16, 2026 20:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 595 | $331.09 | $196,998.55 |
DisclosureSEC source: 0001628280-26-025520 · wk-form4_1776371131.xml · nonDerivative · entry 5 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 19,909 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $330.69 to $331.56, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4. Read SEC document |
| April 15, 2026 Filed Apr 16, 2026 20:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 189 | $328.34 | $62,056.26 |
DisclosureSEC source: 0001628280-26-025520 · wk-form4_1776371131.xml · nonDerivative · entry 4 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 20,504 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $328.34 to $328.35, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4. Read SEC document |
| April 15, 2026 Filed Apr 16, 2026 20:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 220 | $327.45 | $72,039.00 |
DisclosureSEC source: 0001628280-26-025520 · wk-form4_1776371131.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 20,693 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $326.93 to $327.47, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| April 14, 2026 Filed Apr 16, 2026 20:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 139 | $326.16 | $45,336.24 |
DisclosureSEC source: 0001628280-26-025520 · wk-form4_1776371131.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 20,913 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $326.12 to $326.33, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| April 14, 2026 Filed Apr 16, 2026 20:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 330 | $325.00 | $107,250.00 |
DisclosureSEC source: 0001628280-26-025520 · wk-form4_1776371131.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 21,052 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $325.00 to $325.01, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| February 26, 2026 Filed Feb 27, 2026 22:04 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 453 | $322.15 | $145,933.95 |
DisclosureSEC source: 0001628280-26-012912 · wk-form4_1772229847.xml · nonDerivative · entry 7 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 21,382 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $321.97 to $322.69, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4. F8 · balance_after: Consists of (i) 10,006 shares of Common Stock; (ii) 787 restricted stock units that vest in full on February 25, 2027; (iii) 3,965 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 26, 2026 Filed Feb 27, 2026 22:04 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 506 | $321.04 | $162,446.24 |
DisclosureSEC source: 0001628280-26-012912 · wk-form4_1772229847.xml · nonDerivative · entry 6 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 21,835 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $320.70 to $321.37, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4. Read SEC document |
| February 26, 2026 Filed Feb 27, 2026 22:04 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 274 | $319.32 | $87,493.68 |
DisclosureSEC source: 0001628280-26-012912 · wk-form4_1772229847.xml · nonDerivative · entry 5 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 22,341 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $319.17 to $319.52, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4. Read SEC document |
| February 26, 2026 Filed Feb 27, 2026 22:04 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 348 | $318.51 | $110,841.48 |
DisclosureSEC source: 0001628280-26-012912 · wk-form4_1772229847.xml · nonDerivative · entry 4 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 22,615 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2025. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $318.07 to $319.05, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| February 25, 2026 Filed Feb 27, 2026 22:04 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 6,624 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-012912 · wk-form4_1772229847.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 22,963 F2 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| February 25, 2026 Filed Feb 27, 2026 22:04 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 2,351 | $318.47 | $748,722.97 |
DisclosureSEC source: 0001628280-26-012912 · wk-form4_1772229847.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 16,339 Read SEC document |
| February 25, 2026 Filed Feb 27, 2026 22:04 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,152 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-012912 · wk-form4_1772229847.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 18,690 F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2023. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending February 14, 2026. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 81% of the reporting person's target award. Read SEC document |
| February 26, 2025 Filed Feb 27, 2025 23:05 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,588 | $360.07 | $1,652,001.16 |
DisclosureSEC source: 0001397911-25-000020 · wk-form4_1740697494.xml · nonDerivative · entry 4 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 16,538 F3 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2024. F4 · balance_after: Consists of (i) 8,427 shares of Common Stock; (ii) 591 restricted stock units that vest in full on February 25, 2026; (iii) 1,573 restricted stock units that vest ratably on each of February 25, 2026 and February 25, 2027; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2025 Filed Feb 27, 2025 23:05 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 5,947 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-25-000020 · wk-form4_1740697494.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 21,126 F2 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2026, February 25, 2027 and February 25, 2028. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| February 25, 2025 Filed Feb 27, 2025 23:05 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 4,738 | $357.36 | $1,693,171.68 |
DisclosureSEC source: 0001397911-25-000020 · wk-form4_1740697494.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 15,179 Read SEC document |
| February 25, 2025 Filed Feb 27, 2025 23:05 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 7,154 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-25-000020 · wk-form4_1740697494.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 19,917 F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2022. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending February 14, 2025. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Read SEC document |
| February 06, 2025 Filed Feb 7, 2025 21:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 900 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-25-000008 · wk-form4_1738962943.xml · nonDerivative · entry 11 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 12,763 F11 · kind: This transaction was a charitable gift of securities by the reporting person. F12 · balance_after: Consists of (i) 8,427 shares of Common Stock; (ii) 795 restricted stock units that vest in full on February 25, 2025; (iii) 1,182 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026; and (iv) 2,359 restricted stock units that vest ratably on each of February 25, 2025, February 25, 2026 and February 25, 2027. Read SEC document |
| February 05, 2025 Filed Feb 7, 2025 21:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 12,903 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-25-000008 · wk-form4_1738962943.xml · derivative · entry 13 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,903 shares Expires 2029-02-25 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. F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2024. F14 · derivative.exercise_date: This option became exercisable in three installments, beginning February 25, 2020, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2022. Read SEC document |
| February 05, 2025 Filed Feb 7, 2025 21:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 15,874 | $0.00 Strike: $65.50 | $0.00 |
DisclosureSEC source: 0001397911-25-000008 · wk-form4_1738962943.xml · derivative · entry 12 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,874 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. F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2024. F13 · derivative.exercise_date: This option became exercisable in three installments, beginning February 23, 2019, which was the first anniversary of the date on which it was granted. The option became fully vested on February 23, 2021. Read SEC document |
| February 05, 2025 Filed Feb 7, 2025 21:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,417 | $368.08 | $521,569.36 |
DisclosureSEC source: 0001397911-25-000008 · wk-form4_1738962943.xml · nonDerivative · entry 10 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 13,663 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2024. F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $367.99 to $368.27, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (10) to this Form 4. Read SEC document |
| February 05, 2025 Filed Feb 7, 2025 21:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,173 | $367.37 | $1,165,665.01 |
DisclosureSEC source: 0001397911-25-000008 · wk-form4_1738962943.xml · nonDerivative · entry 9 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 15,080 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2024. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $366.93 to $367.92, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (9) to this Form 4. Read SEC document |
| February 05, 2025 Filed Feb 7, 2025 21:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 10,307 | $366.40 | $3,776,484.80 |
DisclosureSEC source: 0001397911-25-000008 · wk-form4_1738962943.xml · nonDerivative · entry 8 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 18,253 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2024. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $365.93 to $366.92, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (8) to this Form 4. Read SEC document |
| February 05, 2025 Filed Feb 7, 2025 21:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 5,260 | $365.37 | $1,921,846.20 |
DisclosureSEC source: 0001397911-25-000008 · wk-form4_1738962943.xml · nonDerivative · entry 7 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 28,560 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2024. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $364.87 to $365.72, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4. Read SEC document |
| February 05, 2025 Filed Feb 7, 2025 21:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,247 | $364.37 | $1,183,109.39 |
DisclosureSEC source: 0001397911-25-000008 · wk-form4_1738962943.xml · nonDerivative · entry 6 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 33,820 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2024. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $363.87 to $364.82, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4. Read SEC document |
| February 05, 2025 Filed Feb 7, 2025 21:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 300 | $362.30 | $108,690.00 |
DisclosureSEC source: 0001397911-25-000008 · wk-form4_1738962943.xml · nonDerivative · entry 5 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 37,067 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2024. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $362.20 to $362.36, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4. Read SEC document |
| February 05, 2025 Filed Feb 7, 2025 21:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,900 | $361.39 | $1,048,031.00 |
DisclosureSEC source: 0001397911-25-000008 · wk-form4_1738962943.xml · nonDerivative · entry 4 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 37,367 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2024. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $361.20 to $361.55, 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 range set forth in this footnote (4) to this Form 4. Read SEC document |
| February 05, 2025 Filed Feb 7, 2025 21:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,173 | $360.00 | $782,280.00 |
DisclosureSEC source: 0001397911-25-000008 · wk-form4_1738962943.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 40,267 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2024. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $359.50 to $360.37, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| February 05, 2025 Filed Feb 7, 2025 21:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 12,903 | $77.53 | $1,000,369.59 |
DisclosureSEC source: 0001397911-25-000008 · wk-form4_1738962943.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 42,440 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. F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2024. Read SEC document |
| February 05, 2025 Filed Feb 7, 2025 21:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 15,874 | $65.50 | $1,039,747.00 |
DisclosureSEC source: 0001397911-25-000008 · wk-form4_1738962943.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · President and CFO 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 29,537 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. F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2024. Read SEC document |
| February 26, 2024 Filed Feb 28, 2024 00:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,315 | $267.79 | $352,143.85 |
DisclosureSEC source: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 8 Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 13,663 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2023. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $267.33 to $268.16, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (8) to this Form 4. F9 · balance_after: Consists of (i) 9,327 shares of Common Stock; (ii) 795 restricted stock units that vest in full on February 25, 2025; (iii) 1,182 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 26, 2024 Filed Feb 28, 2024 00:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,613 | $266.68 | $696,834.84 |
DisclosureSEC source: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 7 Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 14,978 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2023. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $266.28 to $267.23, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4. Read SEC document |
| February 26, 2024 Filed Feb 28, 2024 00:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,219 | $265.68 | $323,863.92 |
DisclosureSEC source: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 6 Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 17,591 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2023. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $265.26 to $266.18, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4. Read SEC document |
| February 26, 2024 Filed Feb 28, 2024 00:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 300 | $264.37 | $79,311.00 |
DisclosureSEC source: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 5 Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 18,810 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2023. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $264.19 to $264.53, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4. Read SEC document |
| February 26, 2024 Filed Feb 28, 2024 00:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 127 | $263.41 | $33,453.07 |
DisclosureSEC source: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 4 Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 19,110 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2023. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $262.87 to $263.56, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| February 25, 2024 Filed Feb 28, 2024 00:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,359 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 19,237 F2 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2025, February 25, 2026 and February 25, 2027. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| February 25, 2024 Filed Feb 28, 2024 00:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 7,068 | $263.36 | $1,861,428.48 |
DisclosureSEC source: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 16,878 Read SEC document |
| February 25, 2024 Filed Feb 28, 2024 00:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 11,302 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-24-000019 · wk-form4_1709079943.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 23,946 F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2021. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2023. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Read SEC document |
| February 05, 2024 Filed Feb 7, 2024 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 27,704 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-24-000007 · wk-form4_1707342455.xml · derivative · entry 7 Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,704 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. F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2023. F9 · derivative.exercise_date: This option became exercisable in three installments, beginning March 13, 2018, which was the first anniversary of the date on which it was granted. The option became fully vested on March 13, 2020. Read SEC document |
| February 05, 2024 Filed Feb 7, 2024 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 212 | $251.02 | $53,216.24 |
DisclosureSEC source: 0001397911-24-000007 · wk-form4_1707342455.xml · nonDerivative · entry 6 Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 12,644 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2023. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $250.69 to $251.22, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7) to this Form 4. F8 · balance_after: Consists of (i) 8,026 shares of Common Stock; (ii) 1,256 restricted stock units that vest in full on February 25, 2024; (iii) 1,590 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 1,772 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026. Read SEC document |
| February 05, 2024 Filed Feb 7, 2024 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,147 | $249.95 | $536,642.65 |
DisclosureSEC source: 0001397911-24-000007 · wk-form4_1707342455.xml · nonDerivative · entry 5 Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 12,856 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2023. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $249.63 to $250.59, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4. Read SEC document |
| February 05, 2024 Filed Feb 7, 2024 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 9,595 | $249.10 | $2,390,114.50 |
DisclosureSEC source: 0001397911-24-000007 · wk-form4_1707342455.xml · nonDerivative · entry 4 Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 15,003 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2023. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $248.61 to $249.58, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4. Read SEC document |
| February 05, 2024 Filed Feb 7, 2024 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 15,250 | $248.05 | $3,782,762.50 |
DisclosureSEC source: 0001397911-24-000007 · wk-form4_1707342455.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 24,598 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2023. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $247.58 to $248.55, 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 range set forth in this footnote (4) to this Form 4. Read SEC document |
| February 05, 2024 Filed Feb 7, 2024 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 500 | $246.02 | $123,010.00 |
DisclosureSEC source: 0001397911-24-000007 · wk-form4_1707342455.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 39,848 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2023. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $245.71 to $246.19, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| February 05, 2024 Filed Feb 7, 2024 21:47 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 27,704 | $39.48 | $1,093,753.92 |
DisclosureSEC source: 0001397911-24-000007 · wk-form4_1707342455.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · CFO and Head of Business Ops 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 40,348 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. F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 2, 2023. Read SEC document |
| February 27, 2023 Filed Feb 28, 2023 23:11 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,009 | $247.01 | $496,243.09 |
DisclosureSEC source: 0001397911-23-000028 · wf-form4_167762587356042.xml · nonDerivative · entry 6 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,644 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 30, 2022. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $246.66 to $247.57, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6) to this Form 4. F7 · balance_after: Consists of (i) 8,026 shares of Common Stock; (ii) 1,256 restricted stock units that vest in full on February 25, 2024; (iii) 1,590 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 27, 2023 Filed Feb 28, 2023 23:11 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,574 | $246.06 | $879,418.44 |
DisclosureSEC source: 0001397911-23-000028 · wf-form4_167762587356042.xml · nonDerivative · entry 5 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,653 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 30, 2022. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $245.65 to $246.60, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4. Read SEC document |
| February 27, 2023 Filed Feb 28, 2023 23:11 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,528 | $245.30 | $374,818.40 |
DisclosureSEC source: 0001397911-23-000028 · wf-form4_167762587356042.xml · nonDerivative · entry 4 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,227 F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 30, 2022. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $244.61 to $245.60, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| February 25, 2023 Filed Feb 28, 2023 23:11 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,772 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000028 · wf-form4_167762587356042.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,755 F2 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2024, February 25, 2025, and February 25, 2026. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. 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.