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 |
|---|---|---|---|---|---|---|
| February 25, 2023 Filed Feb 28, 2023 23:11 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 8,788 | $247.30 | $2,173,272.40 |
DisclosureSEC source: 0001397911-23-000028 · wf-form4_167762587356042.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,983 Read SEC document |
| February 25, 2023 Filed Feb 28, 2023 23:11 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 14,104 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000028 · wf-form4_167762587356042.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,771 F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2020. 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, 2022. 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, 2023 Filed Feb 8, 2023 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 20,810 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-23-000014 · wf-form4_167589250561203.xml · derivative · entry 10 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,810 shares Expires 2026-02-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 August 30, 2022. F11 · derivative.exercise_date: This option became exercisable in three installments, beginning February 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2019. Read SEC document |
| February 06, 2023 Filed Feb 8, 2023 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 100 | $242.29 | $24,229.00 |
DisclosureSEC source: 0001397911-23-000014 · wf-form4_167589250561203.xml · nonDerivative · entry 9 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,667 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 August 30, 2022. F10 · balance_after: Consists of (i) 6,203 shares of Common Stock; (ii) 1,567 restricted stock units that vest in full on February 25, 2023; (iii) 2,512 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 2,385 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025. Read SEC document |
| February 06, 2023 Filed Feb 8, 2023 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 600 | $241.50 | $144,900.00 |
DisclosureSEC source: 0001397911-23-000014 · wf-form4_167589250561203.xml · nonDerivative · entry 8 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,767 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 August 30, 2022. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $241.08 to $241.88, 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 06, 2023 Filed Feb 8, 2023 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 5,300 | $240.56 | $1,274,968.00 |
DisclosureSEC source: 0001397911-23-000014 · wf-form4_167589250561203.xml · nonDerivative · entry 7 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,367 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 August 30, 2022. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $240.07 to $241.04, 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 06, 2023 Filed Feb 8, 2023 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 7,969 | $239.51 | $1,908,655.19 |
DisclosureSEC source: 0001397911-23-000014 · wf-form4_167589250561203.xml · nonDerivative · entry 6 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,667 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 August 30, 2022. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $239.00 to $239.98, 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 06, 2023 Filed Feb 8, 2023 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,400 | $238.49 | $810,866.00 |
DisclosureSEC source: 0001397911-23-000014 · wf-form4_167589250561203.xml · nonDerivative · entry 5 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,636 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 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 $237.92 to $238.89, 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 06, 2023 Filed Feb 8, 2023 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,387 | $237.21 | $803,430.27 |
DisclosureSEC source: 0001397911-23-000014 · wf-form4_167589250561203.xml · nonDerivative · entry 4 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,036 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 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 $236.73 to $237.55, 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 (5) to this Form 4. Read SEC document |
| February 06, 2023 Filed Feb 8, 2023 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 23 | $235.47 | $5,415.81 |
DisclosureSEC source: 0001397911-23-000014 · wf-form4_167589250561203.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,423 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 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 $235.35 to $235.56, 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 06, 2023 Filed Feb 8, 2023 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 31 | $234.48 | $7,268.88 |
DisclosureSEC source: 0001397911-23-000014 · wf-form4_167589250561203.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,446 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 August 30, 2022. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $234.32 to $234.52, 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 (3) to this Form 4. Read SEC document |
| February 06, 2023 Filed Feb 8, 2023 21:42 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 20,810 | $19.85 | $413,078.50 |
DisclosureSEC source: 0001397911-23-000014 · wf-form4_167589250561203.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,477 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 August 30, 2022. Read SEC document |
| October 31, 2022 Filed Nov 2, 2022 20:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 20,000 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-22-000158 · wf-form4_166742221886521.xml · derivative · entry 8 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,810 Underlying: Common Stock · 20,000 shares Expires 2026-02-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 August 30, 2022. F10 · derivative.exercise_date: This option became exercisable in three installments, beginning February 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2019. Read SEC document |
| October 31, 2022 Filed Nov 2, 2022 20:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,200 | $260.28 | $312,336.00 |
DisclosureSEC source: 0001397911-22-000158 · wf-form4_166742221886521.xml · nonDerivative · entry 7 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,667 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 August 30, 2022. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $260.11 to $260.59, 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 (8) to this Form 4. F9 · balance_after: Consists of (i) 6,203 shares of Common Stock; (ii) 1,567 restricted stock units that vest in full on February 25, 2023; (iii) 2,512 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 2,385 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025. Read SEC document |
| October 31, 2022 Filed Nov 2, 2022 20:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,235 | $259.49 | $839,450.15 |
DisclosureSEC source: 0001397911-22-000158 · wf-form4_166742221886521.xml · nonDerivative · entry 6 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,867 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 August 30, 2022. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $258.99 to $259.90, 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 |
| October 31, 2022 Filed Nov 2, 2022 20:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,669 | $258.14 | $947,115.66 |
DisclosureSEC source: 0001397911-22-000158 · wf-form4_166742221886521.xml · nonDerivative · entry 5 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,102 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 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 $257.64 to $258.60, 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 (6) to this Form 4. Read SEC document |
| October 31, 2022 Filed Nov 2, 2022 20:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,100 | $256.71 | $1,052,511.00 |
DisclosureSEC source: 0001397911-22-000158 · wf-form4_166742221886521.xml · nonDerivative · entry 4 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,771 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 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 $256.31 to $257.12, 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 |
| October 31, 2022 Filed Nov 2, 2022 20:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,587 | $255.64 | $1,172,620.68 |
DisclosureSEC source: 0001397911-22-000158 · wf-form4_166742221886521.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,871 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 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 $255.26 to $256.03, 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 |
| October 31, 2022 Filed Nov 2, 2022 20:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,209 | $254.84 | $817,781.56 |
DisclosureSEC source: 0001397911-22-000158 · wf-form4_166742221886521.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,458 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 August 30, 2022. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $254.25 to $255.17, 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 |
| October 31, 2022 Filed Nov 2, 2022 20:50 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 20,000 | $19.85 | $397,000.00 |
DisclosureSEC source: 0001397911-22-000158 · wf-form4_166742221886521.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,667 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 August 30, 2022. Read SEC document |
| February 28, 2022 Filed Mar 1, 2022 22:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,991 | $181.85 | $362,063.35 |
DisclosureSEC source: 0001397911-22-000022 · wf-form4_164617465539552.xml · nonDerivative · entry 7 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,667 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 5, 2021. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.55 to $182.34, 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) 6,203 shares of Common Stock; (ii) 1,567 restricted stock units that vest in full on February 25, 2023; (iii) 2,512 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 28, 2022 Filed Mar 1, 2022 22:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,189 | $181.14 | $215,375.46 |
DisclosureSEC source: 0001397911-22-000022 · wf-form4_164617465539552.xml · nonDerivative · entry 6 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,658 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 5, 2021. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.54 to $181.52, 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 (6) to this Form 4. Read SEC document |
| February 28, 2022 Filed Mar 1, 2022 22:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,300 | $179.92 | $413,816.00 |
DisclosureSEC source: 0001397911-22-000022 · wf-form4_164617465539552.xml · nonDerivative · entry 5 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,847 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 5, 2021. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.48 to $180.43, 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 (5) to this Form 4. Read SEC document |
| February 28, 2022 Filed Mar 1, 2022 22:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 300 | $178.55 | $53,565.00 |
DisclosureSEC source: 0001397911-22-000022 · wf-form4_164617465539552.xml · nonDerivative · entry 4 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,147 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 5, 2021. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.24 to $179.18, 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 (4) to this Form 4. Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 22:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,385 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000022 · wf-form4_164617465539552.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,447 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, 2023, February 25, 2024, and February 25, 2025. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 22:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 7,795 | $182.73 | $1,424,380.35 |
DisclosureSEC source: 0001397911-22-000022 · wf-form4_164617465539552.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,062 Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 22:44 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 11,464 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000022 · wf-form4_164617465539552.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,857 F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2019. 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, 2021. 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 07, 2022 Filed Feb 9, 2022 21:56 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 20,000 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-22-000005 · wf-form4_164444374393960.xml · derivative · entry 6 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,810 Underlying: Common Stock · 20,000 shares Expires 2026-02-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 5, 2021. F8 · derivative.exercise_date: This option became exercisable in three installments, beginning February 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2019. Read SEC document |
| February 07, 2022 Filed Feb 9, 2022 21:56 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,021 | $183.03 | $186,873.63 |
DisclosureSEC source: 0001397911-22-000005 · wf-form4_164444374393960.xml · nonDerivative · entry 5 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,393 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 5, 2021. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $182.89 to $183.26, 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) 4,059 shares of Common Stock; (ii) 1,433 restricted stock units that vest in full on February 25, 2022; (iii) 3,134 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 3,767 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. Read SEC document |
| February 07, 2022 Filed Feb 9, 2022 21:56 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,647 | $182.18 | $482,230.46 |
DisclosureSEC source: 0001397911-22-000005 · wf-form4_164444374393960.xml · nonDerivative · entry 4 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,414 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 5, 2021. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.77 to $182.73, 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 07, 2022 Filed Feb 9, 2022 21:56 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 13,210 | $181.14 | $2,392,859.40 |
DisclosureSEC source: 0001397911-22-000005 · wf-form4_164444374393960.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,061 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 5, 2021. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.59 to $181.58, 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 (4) to this Form 4. Read SEC document |
| February 07, 2022 Filed Feb 9, 2022 21:56 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,122 | $180.04 | $562,084.88 |
DisclosureSEC source: 0001397911-22-000005 · wf-form4_164444374393960.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,271 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 5, 2021. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.59 to $180.57, 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 (3) to this Form 4. Read SEC document |
| February 07, 2022 Filed Feb 9, 2022 21:56 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 20,000 | $19.85 | $397,000.00 |
DisclosureSEC source: 0001397911-22-000005 · wf-form4_164444374393960.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,393 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 5, 2021. Read SEC document |
| May 10, 2021 Filed May 12, 2021 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 33,300 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-21-000114 · wf-form4_162085325968911.xml · derivative · entry 10 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,810 Underlying: Common Stock · 33,300 shares Expires 2026-02-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. 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 March 8, 2021. F10 · derivative.exercise_date: This option became exercisable in three installments, beginning February 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2019. Read SEC document |
| May 10, 2021 Filed May 12, 2021 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 17,605 | $0.00 Strike: $42.60 | $0.00 |
DisclosureSEC source: 0001397911-21-000114 · wf-form4_162085325968911.xml · derivative · entry 9 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,605 shares Expires 2025-10-30 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 March 8, 2021. F9 · derivative.exercise_date: This option became exercisable in three installments, beginning October 30, 2016, which was the first anniversary of the date on which it was granted. The option became fully vested on October 30, 2018. Read SEC document |
| May 10, 2021 Filed May 12, 2021 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 56 | $157.61 | $8,826.16 |
DisclosureSEC source: 0001397911-21-000114 · wf-form4_162085325968911.xml · nonDerivative · entry 8 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,393 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 March 8, 2021. F8 · balance_after: Consists of (i) 4,059 shares of Common Stock; (ii) 1,433 restricted stock units that vest in full on February 25, 2022; (iii) 3,134 restricted stock units that vest ratably on each of February 25, 2022 and February25, 2023; and (iv) 3,767 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. Read SEC document |
| May 10, 2021 Filed May 12, 2021 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,661 | $156.56 | $729,726.16 |
DisclosureSEC source: 0001397911-21-000114 · wf-form4_162085325968911.xml · nonDerivative · entry 7 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,449 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 March 8, 2021. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $156.29 to $157.05, 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 (7) to this Form 4. Read SEC document |
| May 10, 2021 Filed May 12, 2021 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,100 | $155.93 | $327,453.00 |
DisclosureSEC source: 0001397911-21-000114 · wf-form4_162085325968911.xml · nonDerivative · entry 6 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,110 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 March 8, 2021. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $155.28 to $156.27, 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 (6) to this Form 4. Read SEC document |
| May 10, 2021 Filed May 12, 2021 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 25,875 | $154.77 | $4,004,673.75 |
DisclosureSEC source: 0001397911-21-000114 · wf-form4_162085325968911.xml · nonDerivative · entry 5 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,210 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 March 8, 2021. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $154.21 to $155.17, 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 |
| May 10, 2021 Filed May 12, 2021 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 8,498 | $153.56 | $1,304,952.88 |
DisclosureSEC source: 0001397911-21-000114 · wf-form4_162085325968911.xml · nonDerivative · entry 4 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,085 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 March 8, 2021. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $153.16 to $154.13, 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 |
| May 10, 2021 Filed May 12, 2021 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 9,715 | $152.73 | $1,483,771.95 |
DisclosureSEC source: 0001397911-21-000114 · wf-form4_162085325968911.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,583 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 March 8, 2021. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $152.16 to $153.15, 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 |
| May 10, 2021 Filed May 12, 2021 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 33,300 | $19.85 | $661,005.00 |
DisclosureSEC source: 0001397911-21-000114 · wf-form4_162085325968911.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,298 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 March 8, 2021. Read SEC document |
| May 10, 2021 Filed May 12, 2021 21:01 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 17,605 | $42.60 | $749,973.00 |
DisclosureSEC source: 0001397911-21-000114 · wf-form4_162085325968911.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,998 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 March 8, 2021. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 00:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 121 | $132.65 | $16,050.65 |
DisclosureSEC source: 0001397911-21-000049 · wf-form4_161464462381129.xml · nonDerivative · entry 8 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,393 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 10, 2020. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.55 to $132.90, 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) 4,059 shares of Common Stock; (ii) 1,433 restricted stock units that vest in full on February 25, 2022; (iii) 3,134 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 00:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 846 | $131.97 | $111,646.62 |
DisclosureSEC source: 0001397911-21-000049 · wf-form4_161464462381129.xml · nonDerivative · entry 7 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,514 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 10, 2020. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.50 to $132.45, 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, 2021 Filed Mar 2, 2021 00:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 167 | $131.01 | $21,878.67 |
DisclosureSEC source: 0001397911-21-000049 · wf-form4_161464462381129.xml · nonDerivative · entry 6 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,360 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 10, 2020. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.46 to $131.43, 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 (6) to this Form 4. Read SEC document |
| February 26, 2021 Filed Mar 2, 2021 00:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 227 | $129.96 | $29,500.92 |
DisclosureSEC source: 0001397911-21-000049 · wf-form4_161464462381129.xml · nonDerivative · entry 5 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,527 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 10, 2020. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $129.41 to $130.30, 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, 2021 Filed Mar 2, 2021 00:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 151 | $128.85 | $19,456.35 |
DisclosureSEC source: 0001397911-21-000049 · wf-form4_161464462381129.xml · nonDerivative · entry 4 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,754 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 10, 2020. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $128.37 to $129.19, 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 (4) to this Form 4. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 00:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 3,767 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000049 · wf-form4_161464462381129.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,905 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, 2022, February 25, 2023, and February 25, 2024. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 00:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 1,488 | $132.10 | $196,564.80 |
DisclosureSEC source: 0001397911-21-000049 · wf-form4_161464462381129.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,138 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.