Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LPL Financial Holdings Inc.LPLA · Entity 3160 | Director · President & CEO | June 14, 2024 | June 18, 2024 |
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 June 14, 2024 · Filed June 18, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 148,284.94 |
Reported balance
After 2024-06-14 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-06-14 · Exercise / conversion · Acquired 10,000 · Balance 148,284.94 F1: 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 March 13, 2024. |
| Common StockSEC Table I · non-derivative | Direct | 142,607.94 |
Reported balance
After 2024-06-14 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2024-06-14 · Sale · Disposed 5,677 · Balance 142,607.94 F2: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 13, 2024. F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $277.31 to $277.36, 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. F4: Consists of (i) 118,172.94 shares of Common Stock; (ii) 3,919 restricted stock units that vest in full on February 25, 2025; (iii) 7,764 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026; and (iv) 12,752 restricted stock units that vest ratably on each of February 25, 2025, February 25, 2026 and February 25, 2027. |
| Option to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $39.48 · Expires 2027-03-13 | Direct | 47,603 |
Reported balance
After 2024-06-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-06-14 · Exercise / conversion · Disposed 10,000 · Balance 47,603 F1: 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 March 13, 2024. F5: This option became exercisable in three installments, beginning March 13, 2018, which was the first anniversary of the date on which it was granted. The option became fully vested on March 13, 2020. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 March 13, 2024.
F2: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 13, 2024.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $277.31 to $277.36, 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.
F4: Consists of (i) 118,172.94 shares of Common Stock; (ii) 3,919 restricted stock units that vest in full on February 25, 2025; (iii) 7,764 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026; and (iv) 12,752 restricted stock units that vest ratably on each of February 25, 2025, February 25, 2026 and February 25, 2027.
F5: This option became exercisable in three installments, beginning March 13, 2018, which was the first anniversary of the date on which it was granted. The option became fully vested on March 13, 2020.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 17, 2022 Filed Aug 19, 2022 17:02 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,531 | $231.77 | $586,609.87 |
DisclosureSEC source: 0001397911-22-000128 · wf-form4_166094290875321.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,707.94 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 14, 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 $231.04 to $232.02, 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 |
| August 17, 2022 Filed Aug 19, 2022 17:02 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 8,760 | $230.28 | $2,017,252.80 |
DisclosureSEC source: 0001397911-22-000128 · wf-form4_166094290875321.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,238.94 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 14, 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 $230.00 to $230.91, 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 |
| August 17, 2022 Filed Aug 19, 2022 17:02 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 11,391 | $39.48 | $449,716.68 |
DisclosureSEC source: 0001397911-22-000128 · wf-form4_166094290875321.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,998.94 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 June 14, 2022. Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 18:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 3,609 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · derivative · entry 9 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,522 Underlying: Common Stock · 3,609 shares Expires 2027-03-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022. F9 · derivative.exercise_date: This option became exercisable in three installments, beginning March 13, 2018, which was the first anniversary of the date on which it was granted. The option became fully vested on March 13, 2020. Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 18:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,609 | $230.18 | $830,719.62 |
DisclosureSEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · nonDerivative · entry 7 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,607.94 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 14, 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 $230.00 to $230.36, 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 (7) to this Form 4. F8 · balance_after: Consists of (i) 136,174.94 shares of Common Stock; (ii) 4,849 restricted stock units that vest in full on February 25, 2023; (iii) 9,829 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 11,755 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025. Read SEC document |
| August 16, 2022 Filed Aug 17, 2022 18:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 3,609 | $39.48 | $142,483.32 |
DisclosureSEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · nonDerivative · entry 6 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,216.94 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 June 14, 2022. Read SEC document |
| August 15, 2022 Filed Aug 17, 2022 18:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 10,000 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · derivative · entry 8 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,131 Underlying: Common Stock · 10,000 shares Expires 2027-03-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022. F9 · derivative.exercise_date: This option became exercisable in three installments, beginning March 13, 2018, which was the first anniversary of the date on which it was granted. The option became fully vested on March 13, 2020. Read SEC document |
| August 15, 2022 Filed Aug 17, 2022 18:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,131 | $226.94 | $256,669.14 |
DisclosureSEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · nonDerivative · entry 5 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,607.94 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 14, 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 $226.80 to $227.20, 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 |
| August 15, 2022 Filed Aug 17, 2022 18:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,408 | $226.16 | $770,753.28 |
DisclosureSEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · nonDerivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,738.94 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 14, 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 $225.79 to $226.77, 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 (5) to this Form 4. Read SEC document |
| August 15, 2022 Filed Aug 17, 2022 18:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,753 | $225.29 | $845,513.37 |
DisclosureSEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,146.94 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 14, 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 $224.71 to $225.70, 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 |
| August 15, 2022 Filed Aug 17, 2022 18:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,708 | $224.02 | $382,626.16 |
DisclosureSEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,899.94 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 14, 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 $223.62 to $224.45, 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 (3) to this Form 4. Read SEC document |
| August 15, 2022 Filed Aug 17, 2022 18:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 10,000 | $39.48 | $394,800.00 |
DisclosureSEC source: 0001397911-22-000126 · wf-form4_166077480151524.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,607.94 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 June 14, 2022. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 20:16 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 39,015 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-22-000119 · wf-form4_165948577789761.xml · derivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 39,015 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 March 14, 2022. F5 · 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 |
| July 29, 2022 Filed Aug 2, 2022 20:16 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 39,015 | $210.33 | $8,206,024.95 |
DisclosureSEC source: 0001397911-22-000119 · wf-form4_165948577789761.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,607.94 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 March 14, 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 $210.00 to $210.92, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. F4 · balance_after: Consists of (i) 136,174.94 shares of Common Stock; (ii) 4,849 restricted stock units that vest in full on February 25, 2023; (iii) 9,829 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 11,755 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 20:16 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 39,015 | $19.85 | $774,447.75 |
DisclosureSEC source: 0001397911-22-000119 · wf-form4_165948577789761.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,622.94 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 March 14, 2022. Read SEC document |
| May 27, 2022 Filed May 31, 2022 17:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 19,508 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · derivative · entry 12 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,015 Underlying: Common Stock · 19,508 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. F2 · 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 14, 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 |
| May 27, 2022 Filed May 31, 2022 17:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 19,508 | $200.36 | $3,908,622.88 |
DisclosureSEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · nonDerivative · entry 10 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,607.94 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 March 14, 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 $200.00 to $200.70, 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. F10 · balance_after: Consists of (i) 136,174.94 shares of Common Stock; (ii) 4,849 restricted stock units that vest in full on February 25, 2023; (iii) 9,829 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 11,755 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025. Read SEC document |
| May 27, 2022 Filed May 31, 2022 17:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 19,508 | $19.85 | $387,233.80 |
DisclosureSEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · nonDerivative · entry 9 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,115.94 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. F2 · 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 14, 2022. Read SEC document |
| May 26, 2022 Filed May 31, 2022 17:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 19,508 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · derivative · entry 11 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,523 Underlying: Common Stock · 19,508 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. F2 · 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 14, 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 |
| May 26, 2022 Filed May 31, 2022 17:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,336 | $195.70 | $261,455.20 |
DisclosureSEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · nonDerivative · entry 8 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,607.94 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 March 14, 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 $195.33 to $196.09, 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 |
| May 26, 2022 Filed May 31, 2022 17:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 9,994 | $194.84 | $1,947,230.96 |
DisclosureSEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · nonDerivative · entry 7 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,943.94 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 March 14, 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 $194.33 to $195.26, 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 (7) to this Form 4. Read SEC document |
| May 26, 2022 Filed May 31, 2022 17:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,772 | $193.73 | $924,479.56 |
DisclosureSEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · nonDerivative · entry 6 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,937.94 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 March 14, 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 $193.32 to $194.27, 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 26, 2022 Filed May 31, 2022 17:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,037 | $192.93 | $392,998.41 |
DisclosureSEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · nonDerivative · entry 5 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,709.94 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 March 14, 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 $192.31 to $193.30, 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 |
| May 26, 2022 Filed May 31, 2022 17:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,300 | $191.89 | $249,457.00 |
DisclosureSEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · nonDerivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,746.94 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 March 14, 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 $191.30 to $192.19, 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 |
| May 26, 2022 Filed May 31, 2022 17:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 69 | $190.00 | $13,110.00 |
DisclosureSEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,046.94 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 March 14, 2022. Read SEC document |
| May 26, 2022 Filed May 31, 2022 17:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 19,508 | $19.85 | $387,233.80 |
DisclosureSEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,115.94 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. F2 · 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 14, 2022. Read SEC document |
| March 18, 2022 Filed May 31, 2022 17:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 16,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000094 · wf-form4_165403160490903.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,607.94 F1 · kind: This transaction was a charitable gift of securities by the reporting person. Read SEC document |
| February 28, 2022 Filed Mar 1, 2022 17:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,100 | $182.10 | $746,610.00 |
DisclosureSEC source: 0001397911-22-000020 · wf-form4_164617421565444.xml · nonDerivative · entry 8 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,274.94 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 December 13, 2021. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.85 to $182.64, 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) 152,841.94 shares of Common Stock; (ii) 4,849 restricted stock units that vest in full on February 25, 2023; (iii) 9,829 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 17:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 7,275 | $181.47 | $1,320,194.25 |
DisclosureSEC source: 0001397911-22-000020 · wf-form4_164617421565444.xml · nonDerivative · entry 7 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,374.94 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 December 13, 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 $180.84 to $181.83, 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 (7) to this Form 4. Read SEC document |
| February 28, 2022 Filed Mar 1, 2022 17:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 7,447 | $180.24 | $1,342,247.28 |
DisclosureSEC source: 0001397911-22-000020 · wf-form4_164617421565444.xml · nonDerivative · entry 6 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,649.94 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 December 13, 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 $179.84 to $180.78, 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 17:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,599 | $179.48 | $645,948.52 |
DisclosureSEC source: 0001397911-22-000020 · wf-form4_164617421565444.xml · nonDerivative · entry 5 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,096.94 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 December 13, 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 $178.84 to $179.79, 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 17:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 698 | $178.07 | $124,292.86 |
DisclosureSEC source: 0001397911-22-000020 · wf-form4_164617421565444.xml · nonDerivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,695.94 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 December 13, 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 $177.43 to $178.33, 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 (4) to this Form 4. Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 17:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 11,755 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000020 · wf-form4_164617421565444.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,393.94 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 17:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 27,349 | $182.73 | $4,997,482.77 |
DisclosureSEC source: 0001397911-22-000020 · wf-form4_164617421565444.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,638.94 Read SEC document |
| February 25, 2022 Filed Mar 1, 2022 17:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 45,856 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000020 · wf-form4_164617421565444.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,987.94 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 13, 2022 Filed Feb 14, 2022 16:22 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 5,312 | $187.08 | $993,768.96 |
DisclosureSEC source: 0001397911-22-000009 · wf-form4_164487368039717.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,131.94 F2 · balance_after: Consists of (i) 147,690.94 shares of Common Stock; (ii) 9,698 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iii) 14,743 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. Read SEC document |
| November 16, 2021 Filed Feb 14, 2022 16:22 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 3,571 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-22-000009 · wf-form4_164487368039717.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,443.94 F1 · kind: This transaction was a charitable gift of securities by the reporting person. Read SEC document |
| August 20, 2021 Filed Aug 26, 2021 20:45 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 23,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000156 · wf-form4_163002512977631.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,014.94 F1 · kind: This transaction was a charitable gift of securities by the reporting person. F2 · balance_after: Consists of (i) 143,636.94 shares of Common Stock; (ii) 12,937 restricted stock units that vest in full on February 13, 2022; (iii) 9,698 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 14,743 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 16:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 15,594 | $0.00 Strike: $54.81 | $0.00 |
DisclosureSEC source: 0001397911-21-000112 · wf-form4_162085276304067.xml · derivative · entry 7 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,594 shares Expires 2024-02-24 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 March 8, 2021. F9 · derivative.exercise_date: This option became exercisable in three installments, beginning February 24, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on February 24, 2017. Read SEC document |
| May 10, 2021 Filed May 12, 2021 16:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,507 | $156.56 | $235,935.92 |
DisclosureSEC source: 0001397911-21-000112 · wf-form4_162085276304067.xml · nonDerivative · entry 6 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,014.94 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 $156.31 to $157.04, 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 (7) to this Form 4. F8 · balance_after: Consists of (i) 166,636.94 shares of Common Stock; (ii) 12,937 restricted stock units that vest in full on February 13, 2022; (iii) 9,698 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 14,743 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 16:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 700 | $155.81 | $109,067.00 |
DisclosureSEC source: 0001397911-21-000112 · wf-form4_162085276304067.xml · nonDerivative · entry 5 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,521.94 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 $155.29 to $156.21, 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 16:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 7,851 | $154.78 | $1,215,177.78 |
DisclosureSEC source: 0001397911-21-000112 · wf-form4_162085276304067.xml · nonDerivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,221.94 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 $154.22 to $155.16, 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 (5) to this Form 4. Read SEC document |
| May 10, 2021 Filed May 12, 2021 16:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,555 | $153.59 | $392,422.45 |
DisclosureSEC source: 0001397911-21-000112 · wf-form4_162085276304067.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,072.94 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 $153.18 to $154.01, 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 (4) to this Form 4. Read SEC document |
| May 10, 2021 Filed May 12, 2021 16:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,981 | $152.72 | $455,258.32 |
DisclosureSEC source: 0001397911-21-000112 · wf-form4_162085276304067.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,627.94 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 16:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 15,594 | $54.81 | $854,707.14 |
DisclosureSEC source: 0001397911-21-000112 · wf-form4_162085276304067.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,608.94 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 March 8, 2021. Read SEC document |
| February 26, 2021 Filed Mar 1, 2021 19:17 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,558 | $130.23 | $333,128.34 |
DisclosureSEC source: 0001397911-21-000047 · wf-form4_161464420667634.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,014.94 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 December 11, 2020. F3 · balance_after: Consists of (i) 166,636.94 shares of Common Stock; (ii) 12,937 restricted stock units that vest in full on February 13, 2022; (iii) 9,698 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 25, 2021 Filed Mar 1, 2021 19:17 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 14,743 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000047 · wf-form4_161464420667634.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,572.94 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. Read SEC document |
| February 25, 2021 Filed Mar 1, 2021 19:17 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 2,291 | $132.10 | $302,641.10 |
DisclosureSEC source: 0001397911-21-000047 · wf-form4_161464420667634.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,829.94 Read SEC document |
| February 24, 2021 Filed Feb 25, 2021 17:09 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,610 | $137.20 | $358,092.00 |
DisclosureSEC source: 0001397911-21-000031 · wf-form4_161429094003247.xml · nonDerivative · entry 6 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 194,120.94 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 December 11, 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 $137.05 to $137.54, 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) 166,636.94 shares of Common Stock; (ii) 12,937 restricted stock units that vest in full on February 13, 2022; and (iii) 14,547 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. Read SEC document |
| February 24, 2021 Filed Feb 25, 2021 17:09 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 11,704 | $136.55 | $1,598,181.20 |
DisclosureSEC source: 0001397911-21-000031 · wf-form4_161429094003247.xml · nonDerivative · entry 5 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,730.94 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 December 11, 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 $136.05 to $137.04, 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 (5) to this Form 4. 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.