Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LPL Financial Holdings Inc.LPLA · Entity 3160 | Chief Executive Officer | February 25, 2026 | February 27, 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 February 25, 2026 · Filed February 27, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 11,581 |
Reported balance
After 2026-02-25 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-02-25 · Grant · Acquired 2,255 · Balance 11,581 F1: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2023. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending February 14, 2026. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 81% of the reporting person's target award. |
| Common StockSEC Table I · non-derivative | Direct | 8,962 |
Reported balance
After 2026-02-25 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2026-02-25 · Tax withholding · Disposed 2,619 · Balance 8,962 |
| Common StockSEC Table I · non-derivative | Direct | 19,488 |
Reported balance
After 2026-02-25 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2026-02-25 · Grant · Acquired 10,526 · Balance 19,488 F2: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F3: Consists of (i) 3,446 shares of Common Stock; (ii) 868 restricted stock units that vest in full on February 25, 2027; (iii) 4,648 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; and (iv) the restricted stock units reported on this Form 4. |
| Common StockSEC Table I · non-derivative | IndirectHeld by Trust | 16,812.7 |
Reported balance
Holding disclosure · report date 2026-02-25 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 16,812.7 F4: The reporting person and his spouse are co-trustees of the trust and its sole beneficiaries. The reporting person remains the beneficial owner of, and retains his pecuniary interest in, the securities held by the trust. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2023. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending February 14, 2026. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 81% of the reporting person's target award.
F2: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.
F3: Consists of (i) 3,446 shares of Common Stock; (ii) 868 restricted stock units that vest in full on February 25, 2027; (iii) 4,648 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; and (iv) the restricted stock units reported on this Form 4.
F4: The reporting person and his spouse are co-trustees of the trust and its sole beneficiaries. The reporting person remains the beneficial owner of, and retains his pecuniary interest in, the securities held by the trust.
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, 2026 Filed Feb 27, 2026 22:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 10,526 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-012939 · wk-form4_1772230515.xml · nonDerivative · entry 3 Steinmeier Richard · CIK 0001750576 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,488 F2 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F3 · balance_after: Consists of (i) 3,446 shares of Common Stock; (ii) 868 restricted stock units that vest in full on February 25, 2027; (iii) 4,648 restricted stock units that vest ratably on each of February 25, 2027 and February 25, 2028; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2026 Filed Feb 27, 2026 22:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 2,619 | $318.47 | $834,072.93 |
DisclosureSEC source: 0001628280-26-012939 · wk-form4_1772230515.xml · nonDerivative · entry 2 Steinmeier Richard · CIK 0001750576 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,962 Read SEC document |
| February 25, 2026 Filed Feb 27, 2026 22:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,255 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-012939 · wk-form4_1772230515.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,581 F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2023. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending February 14, 2026. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 81% of the reporting person's target award. Read SEC document |
| December 05, 2025 Filed Dec 10, 2025 00:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 275 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-056211 · wk-form4_1765325720.xml · nonDerivative · entry 7 Steinmeier Richard · CIK 0001750576 · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Indirect · Held by Trust Disclosed balance after: 16,812.7 F9 · kind: This transaction was a charitable gift of securities by the reporting person. F10 · balance_after: Includes 18.1 shares acquired on August 29, 2025 and 14.5 shares acquired on December 1, 2025 under a dividend reinvestment plan. F11 · ownership.nature: The reporting person and his spouse are co-trustees of the trust and its sole beneficiaries. The reporting person remains the beneficial owner of, and retains his pecuniary interest in, the securities held by the trust. Read SEC document |
| December 05, 2025 Filed Dec 10, 2025 00:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 274 | $373.20 | $102,256.80 |
DisclosureSEC source: 0001628280-25-056211 · wk-form4_1765325720.xml · nonDerivative · entry 6 Steinmeier Richard · CIK 0001750576 · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 9,326 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 September 4, 2025. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $372.89 to $373.77, 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) 619 restricted stock units that vest in full on February 25, 2026; (ii) 1,736 restricted stock units that vest ratably on each of February 25, 2026 and February 25, 2027; and (iii) 6,971 restricted stock units that vest ratably on each of February 25, 2026, February 25, 2027 and February 25, 2028. Read SEC document |
| December 05, 2025 Filed Dec 10, 2025 00:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 779 | $372.20 | $289,943.80 |
DisclosureSEC source: 0001628280-25-056211 · wk-form4_1765325720.xml · nonDerivative · entry 5 Steinmeier Richard · CIK 0001750576 · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 9,600 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 September 4, 2025. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $371.87 to $372.80, 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 |
| December 05, 2025 Filed Dec 10, 2025 00:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,450 | $371.23 | $909,513.50 |
DisclosureSEC source: 0001628280-25-056211 · wk-form4_1765325720.xml · nonDerivative · entry 4 Steinmeier Richard · CIK 0001750576 · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 10,379 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 September 4, 2025. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $370.85 to $371.83, 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 |
| December 05, 2025 Filed Dec 10, 2025 00:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,040 | $370.62 | $385,444.80 |
DisclosureSEC source: 0001628280-25-056211 · wk-form4_1765325720.xml · nonDerivative · entry 3 Steinmeier Richard · CIK 0001750576 · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 12,829 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 September 4, 2025. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $369.85 to $370.84, 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 |
| December 05, 2025 Filed Dec 10, 2025 00:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 183 | $368.63 | $67,459.29 |
DisclosureSEC source: 0001628280-25-056211 · wk-form4_1765325720.xml · nonDerivative · entry 2 Steinmeier Richard · CIK 0001750576 · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 13,869 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 September 4, 2025. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $368.53 to $369.11, 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 |
| December 05, 2025 Filed Dec 10, 2025 00:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 332 | $367.06 | $121,863.92 |
DisclosureSEC source: 0001628280-25-056211 · wk-form4_1765325720.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 14,052 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 4, 2025. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $366.99 to $367.39, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| February 25, 2025 Filed Feb 27, 2025 23:36 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 6,971 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-25-000034 · wk-form4_1740699413.xml · nonDerivative · entry 3 Steinmeier Richard · CIK 0001750576 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,439 F2 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2026, February 25, 2027 and February 25, 2028. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F3 · balance_after: Consists of (i) 22,113 shares of Common Stock; (ii) 619 restricted stock units that vest in full on February 25, 2026; (iii) 1,736 restricted stock units that vest ratably on each of February 25, 2026 and February 25, 2027; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2025 Filed Feb 27, 2025 23:36 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 4,764 | $357.36 | $1,702,463.04 |
DisclosureSEC source: 0001397911-25-000034 · wk-form4_1740699413.xml · nonDerivative · entry 2 Steinmeier Richard · CIK 0001750576 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,468 Read SEC document |
| February 25, 2025 Filed Feb 27, 2025 23:36 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 7,836 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-25-000034 · wk-form4_1740699413.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,232 F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2022. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending February 14, 2025. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Read SEC document |
| February 18, 2025 Filed Feb 20, 2025 21:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,500 | $373.79 | $1,308,265.00 |
DisclosureSEC source: 0001397911-25-000016 · wk-form4_1740086013.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 21,396 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2024. F2 · balance_after: Consists of (i) 16,684 shares of Common Stock; (ii) 871 restricted stock units that vest in full on February 25, 2025; (iii) 1,238 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026; and (iv) 2,603 restricted stock units that vest ratably on each of February 25, 2025, February 25, 2026 and February 25, 2027. Read SEC document |
| February 25, 2024 Filed Feb 28, 2024 01:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,603 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-24-000031 · wk-form4_1709082796.xml · nonDerivative · entry 3 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,896 F2 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2025, February 25, 2026 and February 25, 2027. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F3 · balance_after: Consists of (i) 20,184 shares of Common Stock; (ii) 871 restricted stock units that vest in full on February 25, 2025; (iii) 1,238 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2024 Filed Feb 28, 2024 01:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 7,397 | $263.36 | $1,948,073.92 |
DisclosureSEC source: 0001397911-24-000031 · wk-form4_1709082796.xml · nonDerivative · entry 2 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,293 Read SEC document |
| February 25, 2024 Filed Feb 28, 2024 01:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 12,776 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-24-000031 · wk-form4_1709082796.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,690 F1 · shares: Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2021. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2023. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Read SEC document |
| September 13, 2023 Filed Sep 15, 2023 20:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 100 | $244.65 | $24,465.00 |
DisclosureSEC source: 0001397911-23-000151 · wk-form4_1694808907.xml · nonDerivative · entry 4 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 16,914 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 14, 2023. F5 · balance_after: Consists of (i) 11,896 shares of Common Stock; (ii) 1,420 restricted stock units that vest in full on February 25, 2024; (iii) 1,742 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 1,856 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026. Read SEC document |
| September 13, 2023 Filed Sep 15, 2023 20:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,200 | $243.99 | $292,788.00 |
DisclosureSEC source: 0001397911-23-000151 · wk-form4_1694808907.xml · nonDerivative · entry 3 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 17,014 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 14, 2023. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $243.56 to $244.22, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| September 13, 2023 Filed Sep 15, 2023 20:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 5,334 | $242.77 | $1,294,935.18 |
DisclosureSEC source: 0001397911-23-000151 · wk-form4_1694808907.xml · nonDerivative · entry 2 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 18,214 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 14, 2023. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $242.43 to $243.36, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. Read SEC document |
| September 13, 2023 Filed Sep 15, 2023 20:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,666 | $242.07 | $887,428.62 |
DisclosureSEC source: 0001397911-23-000151 · wk-form4_1694808907.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 23,548 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 14, 2023. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $241.42 to $242.41, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| February 25, 2023 Filed Mar 1, 2023 00:03 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,856 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000046 · wf-form4_167762892787253.xml · nonDerivative · entry 3 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,214 F2 · shares: These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2024, February 25, 2025, and February 25, 2026. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F3 · balance_after: Consists of (i) 22,196 shares of Common Stock; (ii) 1,420 restricted stock units that vest in full on February 25, 2024; (iii) 1,742 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2023 Filed Mar 1, 2023 00:03 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 7,379 | $247.30 | $1,824,826.70 |
DisclosureSEC source: 0001397911-23-000046 · wf-form4_167762892787253.xml · nonDerivative · entry 2 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,358 Read SEC document |
| February 25, 2023 Filed Mar 1, 2023 00:03 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 12,396 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000046 · wf-form4_167762892787253.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,737 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 |
| September 07, 2022 Filed Sep 9, 2022 21:22 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 3,737 | $223.79 | $836,303.23 |
DisclosureSEC source: 0001397911-22-000146 · wf-form4_166275850873944.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,341 F1 · balance_after: Consists of (i) 13,511 shares of Common Stock; (ii) 1,378 restricted stock units that vest in full on February 25, 2023; (iii) 2,840 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 2,612 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025. Read SEC document |
| August 04, 2022 Filed Aug 8, 2022 20:48 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 7,355 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-22-000124 · wf-form4_165999168010302.xml · derivative · entry 3 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,355 shares Expires 2029-02-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 31, 2022. F4 · derivative.exercise_date: This option became exercisable in three installments, beginning February 25, 2020, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2022. Read SEC document |
| August 04, 2022 Filed Aug 8, 2022 20:48 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 7,355 | $216.64 | $1,593,387.20 |
DisclosureSEC source: 0001397911-22-000124 · wf-form4_165999168010302.xml · nonDerivative · entry 2 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,078 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 May 31, 2022. F3 · balance_after: Consists of (i) 9,711 shares of Common Stock; (ii) 7,537 restricted stock units that vest in full on September 7, 2022; (iii) 1,378 restricted stock units that vest in full on February 25, 2023; (iv) 2,840 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (v) 2,612 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025. Read SEC document |
| August 04, 2022 Filed Aug 8, 2022 20:48 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 7,355 | $77.53 | $570,233.15 |
DisclosureSEC source: 0001397911-22-000124 · wf-form4_165999168010302.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,433 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 May 31, 2022. Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 23:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,612 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000038 · wf-form4_164617747016989.xml · nonDerivative · entry 3 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,078 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. F3 · balance_after: Consists of (i) 9,711 shares of Common Stock; (ii) 7,537 restricted stock units that vest in full on September 7, 2022; (iii) 1,378 restricted stock units that vest in full on February 25, 2023; (iv) 2,840 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (v) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 23:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 4,234 | $182.73 | $773,678.82 |
DisclosureSEC source: 0001397911-22-000038 · wf-form4_164617747016989.xml · nonDerivative · entry 2 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,466 Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 23:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 6,534 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000038 · wf-form4_164617747016989.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,700 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 |
| September 07, 2021 Filed Sep 9, 2021 20:38 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 3,736 | $147.69 | $551,769.84 |
DisclosureSEC source: 0001397911-21-000174 · wf-form4_163121990798405.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,166 F1 · balance_after: Consists of (i) 3,799 shares of Common Stock; (ii) 7,537 restricted stock units that vest in full on September 7, 2022; (iii) 816 restricted stock units that vest in full on February 25, 2022; (iv) 2,755 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (v) 4,259 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 22:16 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,406 | $136.67 | $192,158.02 |
DisclosureSEC source: 0001397911-21-000071 · wf-form4_161541456976910.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,902 F1 · balance_after: Consists of (i) 15,072 restricted stock units that vest ratably on each of September 7, 2021 and September 7, 2022; (ii) 816 restricted stock units that vest in full on February 25, 2022; (iii) 2,755 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 4,259 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 01:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 4,259 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000067 · wf-form4_161464770562939.xml · nonDerivative · entry 2 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,308 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, 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. F2 · balance_after: Consists of (i) 1,406 shares of Common Shares; (ii) 15,072 restricted stock units that vest ratably on each of September 7, 2021 and September 7, 2022; (iii) 816 restricted stock units that vest in full on February 25, 2022; (iv) 2,755 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (v) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 01:15 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 788 | $132.10 | $104,094.80 |
DisclosureSEC source: 0001397911-21-000067 · wf-form4_161464770562939.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,049 Read SEC document |
| November 09, 2020 Filed Nov 12, 2020 22:38 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,984 | $86.00 | $342,624.00 |
DisclosureSEC source: 0001397911-20-000201 · wf-form4_160522071422260.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,837 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2020. F2 · balance_after: Consists of (i) 15,072 restricted stock units that vest ratably on each of September 7, 2021 and September 7, 2022; (ii) 1,633 restricted stock units that vest ratably on each of February 25,2021 and February 25, 2022; and (iii) 4,132 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| September 07, 2020 Filed Sep 9, 2020 20:36 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 3,552 | $83.76 | $297,515.52 |
DisclosureSEC source: 0001397911-20-000186 · wf-form4_159968378733856.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,821 F1 · balance_after: Consists of (i) 3,984 shares of Common Stock; (ii) 15,072 restricted stock units that vest ratably on each of September 7, 2021 and September 7, 2022; (iii) 1,633 restricted stock units that vest ratably on each of February 25,2021 and February 25, 2022; and (iv) 4,132 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 21:33 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 5,418 | $86.02 | $466,056.36 |
DisclosureSEC source: 0001397911-20-000134 · wf-form4_159191116835750.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,373 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.92 to $86.03, 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 (1) to this Form 4. F2 · balance_after: Consists of (i) 22,608 restricted stock units that vest ratably on each of September 7, 2020, September 7, 2021 and September 7, 2022; (ii) 1,633 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iii) 4,132 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 02:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 4,132 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000058 · wf-form4_158285582564652.xml · nonDerivative · entry 2 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,791 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, 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. F2 · balance_after: Consists of (i) 5,418 shares of Common Stock; (ii) 22,608 restricted stock units that vest ratably on each of September 7, 2020, September 7, 2021 and September 7, 2022; (iii) 1,633 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) the restricted stock units reported on this Form 4. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 02:10 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 328 | $84.48 | $27,709.44 |
DisclosureSEC source: 0001397911-20-000058 · wf-form4_158285582564652.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,659 Read SEC document |
| September 07, 2019 Filed Sep 10, 2019 22:18 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 2,606 | $76.90 | $200,401.40 |
DisclosureSEC source: 0001397911-19-000141 · wf-form4_156815390887392.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,987 F1 · balance_after: Consists of (i) 4,929 shares of Common Stock; (ii) 22,608 restricted stock units that vest ratably on each of September 7, 2020, September 7, 2021 and September 7, 2022; and (iii) 2,450 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 02:48 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 7,355 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000027 · wf-form4_155123570963654.xml · derivative · entry 2 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,355 Underlying: Common Stock · 7,355 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 02:48 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,450 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000027 · wf-form4_155123570963654.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,593 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 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) 30,143 restricted stock units that vest ratably on each of September 7, 2019, September 7, 2020, September 7, 2021 and September 7, 2022; and (ii) the restricted stock units reported in this Form 4. Read SEC document |
| September 07, 2018 Filed Sep 12, 2018 00:16 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 30,143 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000182 · wf-form4_153671139413501.xml · nonDerivative · entry 1 Steinmeier Richard · CIK 0001750576 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,143 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 September 7, 2019, September 7, 2020, September 7, 2021 and September 7, 2022. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.