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, 2021 Filed Mar 2, 2021 00:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 1,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000049 · wf-form4_161464462381129.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,626 F1 · kind: This transaction was a charitable gift of securities by the reporting person. Read SEC document |
| February 24, 2021 Filed Feb 25, 2021 22:17 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 8,847 | $134.94 | $1,193,814.18 |
DisclosureSEC source: 0001397911-21-000033 · wf-form4_161429137690454.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,126 F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 10, 2020. F3 · balance_after: Consists of (i) 5,559 shares of Common Stock; (ii) 2,866 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iii) 4,701 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:17 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 6,544 | $135.41 | $886,123.04 |
DisclosureSEC source: 0001397911-21-000033 · wf-form4_161429137690454.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,973 Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:17 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 13,682 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000033 · wf-form4_161429137690454.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,517 F1 · shares: Represents shares of Common Stock received upon vesting of performance share units ("PSUs") that were granted on February 23, 2018. 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, 2020. 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 |
| November 09, 2020 Filed Nov 12, 2020 22:34 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 200 | $89.48 | $17,896.00 |
DisclosureSEC source: 0001397911-20-000199 · wf-form4_160522047215716.xml · nonDerivative · entry 7 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,835 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 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 $89.44 to $89.52, 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 (7) to this Form 4. F8 · balance_after: Consists of (i) 5,559 shares of Common Stock; (ii) 1,709 restricted stock units that vest in full on February 23, 2021; (iii) 2,866 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 4,701 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| November 09, 2020 Filed Nov 12, 2020 22:34 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,300 | $88.92 | $204,516.00 |
DisclosureSEC source: 0001397911-20-000199 · wf-form4_160522047215716.xml · nonDerivative · entry 6 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,035 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 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 $88.41 to $89.35, 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 (6) to this Form 4. Read SEC document |
| November 09, 2020 Filed Nov 12, 2020 22:34 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,900 | $87.80 | $342,420.00 |
DisclosureSEC source: 0001397911-20-000199 · wf-form4_160522047215716.xml · nonDerivative · entry 5 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,335 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 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 $87.36 to $88.35, 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 |
| November 09, 2020 Filed Nov 12, 2020 22:34 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,600 | $86.90 | $399,740.00 |
DisclosureSEC source: 0001397911-20-000199 · wf-form4_160522047215716.xml · nonDerivative · entry 4 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,235 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 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 $86.36 to $87.35, 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 (4) to this Form 4. Read SEC document |
| November 09, 2020 Filed Nov 12, 2020 22:34 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,400 | $85.93 | $120,302.00 |
DisclosureSEC source: 0001397911-20-000199 · wf-form4_160522047215716.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,835 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 10, 2020. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.23 to $86.16, 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 (3) to this Form 4. Read SEC document |
| November 09, 2020 Filed Nov 12, 2020 22:34 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 100 | $84.07 | $8,407.00 |
DisclosureSEC source: 0001397911-20-000199 · wf-form4_160522047215716.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,235 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 10, 2020. Read SEC document |
| August 07, 2020 Filed Nov 12, 2020 22:34 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000199 · wf-form4_160522047215716.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,335 F1 · kind: This transaction was a charitable gift of securities by the reporting person. Read SEC document |
| March 13, 2020 Filed Mar 18, 2020 00:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 11,775 | $59.76 | $703,674.00 |
DisclosureSEC source: 0001397911-20-000068 · wf-form4_158449072220472.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,335 F2 · balance_after: Consists of (i) 20,059 shares of Common Stock; (ii) 1,709 restricted stock units that vest in full on February 23, 2021; (iii) 2,866 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 4,701 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| March 13, 2020 Filed Mar 18, 2020 00:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 21,110 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000068 · wf-form4_158449072220472.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,110 F1 · shares: Represents shares of Common Stock received upon vesting of performance share units ("PSUs") that were granted on March 13, 2017. 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, 2019. 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 26, 2020 Filed Feb 28, 2020 01:30 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 937 | $84.86 | $79,513.82 |
DisclosureSEC source: 0001397911-20-000044 · wf-form4_158285338626112.xml · nonDerivative · entry 4 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 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 June 3, 2019. F3 · balance_after: Consists of (i) 8,086 shares of Common Stock; (ii) 2,638 restricted stock units that vest in full on March 13, 2020; (iii) 1,709 restricted stock units that vest in full on February 23, 2021; (iv) 2,866 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (v) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 01:30 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 4,701 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000044 · wf-form4_158285338626112.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,937 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, 2021, February 25, 2022, and February 25, 2023. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 01:30 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 496 | $84.48 | $41,902.08 |
DisclosureSEC source: 0001397911-20-000044 · wf-form4_158285338626112.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,236 Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 01:30 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,095 | $87.78 | $96,119.10 |
DisclosureSEC source: 0001397911-20-000044 · wf-form4_158285338626112.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,732 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 June 3, 2019. Read SEC document |
| February 23, 2020 Filed Feb 25, 2020 22:19 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 616 | $94.86 | $58,433.76 |
DisclosureSEC source: 0001397911-20-000025 · wf-form4_158266915185005.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,827 F1 · balance_after: Consists of (i) 9,181 shares of Common Stock; (ii) 2,638 restricted stock units that vest in full on March 13, 2020; (iii) 1,709 restricted stock units that vest in full on February 23, 2021; and (iv) 4,299 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| August 05, 2019 Filed Aug 7, 2019 20:39 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,687 | $77.11 | $284,304.57 |
DisclosureSEC source: 0001397911-19-000121 · wf-form4_156521036350094.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,443 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 June 3, 2019. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.98 to $77.49, 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 · balance_after: Consists of (i) 8,086 shares of Common Stock; (ii) 2,638 restricted stock units that vest in full on March 13, 2020; (iii) 3,420 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 4,299 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| August 05, 2019 Filed Aug 7, 2019 20:39 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 8,813 | $76.49 | $674,106.37 |
DisclosureSEC source: 0001397911-19-000121 · wf-form4_156521036350094.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,130 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 June 3, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.97 to $76.94, 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 17, 2019 Filed Aug 7, 2019 20:39 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000121 · wf-form4_156521036350094.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,943 F1 · kind: This transaction was a charitable gift of securities by the reporting person. Read SEC document |
| March 13, 2019 Filed Mar 16, 2019 00:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 1,309 | $74.22 | $97,153.98 |
DisclosureSEC source: 0001397911-19-000035 · wf-form4_155269586315689.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,943 F1 · balance_after: Consists of (i) 22,586 shares of Common Stock; (ii) 2,638 restricted stock units that vest in full on March 13, 2020; (iii) 3,420 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 4,299 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 12,903 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000020 · wf-form4_155123434155626.xml · derivative · entry 4 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,903 Underlying: Common Stock · 12,903 shares Expires 2029-02-25 F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 4,299 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000020 · wf-form4_155123434155626.xml · nonDerivative · entry 3 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,252 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 21,256 shares of Common Stock; (ii) 5,277 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; (iii) 3,420 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 02:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 2,405 | $77.53 | $186,459.65 |
DisclosureSEC source: 0001397911-19-000020 · wf-form4_155123434155626.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,953 Read SEC document |
| February 23, 2019 Filed Feb 27, 2019 02:25 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 616 | $77.04 | $47,456.64 |
DisclosureSEC source: 0001397911-19-000020 · wf-form4_155123434155626.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,358 Read SEC document |
| October 30, 2018 Filed Oct 31, 2018 22:39 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 2,909 | $58.64 | $170,583.76 |
DisclosureSEC source: 0001397911-18-000197 · wf-form4_154102558132346.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,974 F1 · balance_after: Consists of (i) 15,613 shares of Common Stock; (ii) 3,842 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 5,277 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 5,131 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| March 13, 2018 Filed Mar 16, 2018 01:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 1,309 | $64.99 | $85,071.91 |
DisclosureSEC source: 0001397911-18-000057 · wf-form4_152116346993544.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,883 F1 · balance_after: Consists of (i) 12,655 shares of Common Stock; (ii) 3,842 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 5,867 restricted stock units that vest in full on October 18, 2018; (v) 5,277 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 5,131 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| February 25, 2018 Filed Feb 28, 2018 00:35 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 1,353 | $65.50 | $88,621.50 |
DisclosureSEC source: 0001397911-18-000019 · wf-form4_151977811291747.xml · nonDerivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,192 F2 · balance_after: Consists of (i) 11,325 shares of Common Stock; (ii) 3,842 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 5,867 restricted stock units that vest in full on October 30, 2018; (v) 7,916 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020; and (vi) the restricted stock units reported on this Form 4. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 00:35 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 15,874 | $0.00 Strike: $65.50 | $0.00 |
DisclosureSEC source: 0001397911-18-000019 · wf-form4_151977811291747.xml · derivative · entry 3 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,874 Underlying: Common Stock · 15,874 shares Expires 2028-02-23 F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 00:35 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 5,131 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000019 · wf-form4_151977811291747.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,545 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on February 23, 2019, February 23, 2020 and February 23, 2021. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
| October 30, 2017 Filed Nov 1, 2017 21:39 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 3,063 | $49.44 | $151,434.72 |
DisclosureSEC source: 0001397911-17-000186 · wf-form4_150957233466310.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,414 F1 · balance_after: Consists of (i) 8,834 shares of Common Stock; (ii) 7,686 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 5,867 restricted stock units that vest in full on October 30, 2018; and (v) 7,916 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020. Read SEC document |
| March 13, 2017 Filed Mar 16, 2017 00:56 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 27,704 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-17-000065 · wf-form4_148962576284418.xml · derivative · entry 2 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,704 Underlying: Common Stock · 27,704 shares Expires 2027-03-13 F3 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of March 13, 2018, March 13, 2019 and March 13, 2020. Read SEC document |
| March 13, 2017 Filed Mar 16, 2017 00:56 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 7,916 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000065 · wf-form4_148962576284418.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,477 F1 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 6,028 shares of Common Stock; (ii) 7,686 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 11,736 restricted stock units that vest ratably on each of October 30, 2017 and October 30, 2018; and (v) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2017 Filed Mar 1, 2017 01:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 1,479 | $39.13 | $57,873.27 |
DisclosureSEC source: 0001397911-17-000027 · wf-form4_148833059802243.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,561 F1 · balance_after: Consists of (i) 6,028 shares of Common Stock; (ii) 7,686 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; and (iv) 11,736 restricted stock units that vest ratably on each of October 30, 2017 and October 30, 2018. Read SEC document |
| October 30, 2016 Filed Nov 1, 2016 20:32 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 2,206 | $31.28 | $69,003.68 |
DisclosureSEC source: 0001397911-16-000349 · wf-form4_147803232584716.xml · nonDerivative · entry 1 Audette Matthew J · CIK 0001435098 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,040 F1 · balance_after: Consists of (i) 3,663 shares of Common Stock; (ii) 11,530 restricted stock units that vest ratably on each of February 25, 2017, February 25, 2018 and February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; and (iv) 11,736 restricted stock units that vest ratably on each of October 30, 2017 and October 30, 2018. 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.