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 |
|---|---|---|---|---|---|---|
| February 24, 2021 Filed Feb 25, 2021 17:09 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 9,057 | $135.60 | $1,228,129.20 |
DisclosureSEC source: 0001397911-21-000031 · wf-form4_161429094003247.xml · nonDerivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,434.94 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. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $135.02 to $136.01, 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 |
| February 24, 2021 Filed Feb 25, 2021 17:09 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,923 | $134.33 | $258,316.59 |
DisclosureSEC source: 0001397911-21-000031 · wf-form4_161429094003247.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,491.94 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. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $133.79 to $134.70, 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 (3) to this Form 4. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 17:09 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 24,876 | $135.41 | $3,368,459.16 |
DisclosureSEC source: 0001397911-21-000031 · wf-form4_161429094003247.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,414.94 Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 17:09 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 50,170 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000031 · wf-form4_161429094003247.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,290.94 F1 · shares: Represents shares of Common Stock received upon vesting of performance share units ("PSUs") that were granted on February 23, 2018. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2020. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Read SEC document |
| February 16, 2021 Filed Feb 17, 2021 18:11 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 7,974 | $130.86 | $1,043,477.64 |
DisclosureSEC source: 0001397911-21-000018 · wf-form4_161360345178119.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 194,120.94 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 December 11, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.67 to $131.51, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. F3 · 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 13, 2021 Filed Feb 17, 2021 18:11 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 4,962 | $130.24 | $646,250.88 |
DisclosureSEC source: 0001397911-21-000018 · wf-form4_161360345178119.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,094.94 Read SEC document |
| December 11, 2020 Filed Feb 12, 2021 18:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 5,102 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-21-000009 · wf-form5_161317126738976.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,056.94 F1 · kind: This transaction was a charitable gift of securities by the reporting person. F2 · balance_after: Consists of (i) 166,636.94 shares of Common Stock; (ii) 25,873 restricted stock units that vest ratably on each of February 13, 2021 and 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 |
| November 09, 2020 Filed Nov 12, 2020 17:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 2,239 | $0.00 Strike: $54.81 | $0.00 |
DisclosureSEC source: 0001397911-20-000197 · wf-form4_160522007192843.xml · derivative · entry 5 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,594 Underlying: Common Stock · 2,239 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 exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2020. F5 · 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 |
| November 09, 2020 Filed Nov 12, 2020 17:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 10,653 | $0.00 Strike: $45.55 | $0.00 |
DisclosureSEC source: 0001397911-20-000197 · wf-form4_160522007192843.xml · derivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,653 shares Expires 2025-03-06 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 10, 2020. F4 · derivative.exercise_date: This option became exercisable in three installments, beginning March 6, 2016, which was the first anniversary of the date on which it was granted. The option became fully vested on March 6, 2018. Read SEC document |
| November 09, 2020 Filed Nov 12, 2020 17:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 12,892 | $85.00 | $1,095,820.00 |
DisclosureSEC source: 0001397911-20-000197 · wf-form4_160522007192843.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,158.94 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 June 10, 2020. F3 · balance_after: Consists of (i) 171,738.94 shares of Common Stock; (ii) 25,873 restricted stock units that vest ratably on each of February 13, 2021 and 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 |
| November 09, 2020 Filed Nov 12, 2020 17:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 2,239 | $54.81 | $122,719.59 |
DisclosureSEC source: 0001397911-20-000197 · wf-form4_160522007192843.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,050.94 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 10, 2020. Read SEC document |
| November 09, 2020 Filed Nov 12, 2020 17:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 10,653 | $45.55 | $485,244.15 |
DisclosureSEC source: 0001397911-20-000197 · wf-form4_160522007192843.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,811.94 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 10, 2020. Read SEC document |
| September 04, 2020 Filed Sep 8, 2020 16:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 200 | $0.00 Strike: $54.81 | $0.00 |
DisclosureSEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · derivative · entry 10 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,833 Underlying: Common Stock · 200 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 exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2020. F7 · 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 |
| September 04, 2020 Filed Sep 8, 2020 16:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 800 | $0.00 Strike: $45.55 | $0.00 |
DisclosureSEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · derivative · entry 9 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,653 Underlying: Common Stock · 800 shares Expires 2025-03-06 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 10, 2020. F6 · derivative.exercise_date: This option became exercisable in three installments, beginning March 6, 2016, which was the first anniversary of the date on which it was granted. The option became fully vested on March 6, 2018. Read SEC document |
| September 04, 2020 Filed Sep 8, 2020 16:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,000 | $85.44 | $85,440.00 |
DisclosureSEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · nonDerivative · entry 6 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,158.94 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 10, 2020. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.13 to $85.64, 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 (4) to this Form 4. F5 · balance_after: Consists of (i) 171,738.94 shares of Common Stock; (ii) 25,873 restricted stock units that vest ratably on each of February 13, 2021 and 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 |
| September 04, 2020 Filed Sep 8, 2020 16:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 200 | $54.81 | $10,962.00 |
DisclosureSEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · nonDerivative · entry 5 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,158.94 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 10, 2020. Read SEC document |
| September 04, 2020 Filed Sep 8, 2020 16:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 800 | $45.55 | $36,440.00 |
DisclosureSEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · nonDerivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,958.94 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 10, 2020. Read SEC document |
| September 03, 2020 Filed Sep 8, 2020 16:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 200 | $0.00 Strike: $54.81 | $0.00 |
DisclosureSEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · derivative · entry 8 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,033 Underlying: Common Stock · 200 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 exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2020. F7 · 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 |
| September 03, 2020 Filed Sep 8, 2020 16:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 756 | $0.00 Strike: $45.55 | $0.00 |
DisclosureSEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · derivative · entry 7 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,453 Underlying: Common Stock · 756 shares Expires 2025-03-06 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 10, 2020. F6 · derivative.exercise_date: This option became exercisable in three installments, beginning March 6, 2016, which was the first anniversary of the date on which it was granted. The option became fully vested on March 6, 2018. Read SEC document |
| September 03, 2020 Filed Sep 8, 2020 16:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 956 | $85.41 | $81,651.96 |
DisclosureSEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,158.94 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 10, 2020. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.18 to $85.62, 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 03, 2020 Filed Sep 8, 2020 16:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 200 | $54.81 | $10,962.00 |
DisclosureSEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,114.94 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 10, 2020. Read SEC document |
| September 03, 2020 Filed Sep 8, 2020 16:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 756 | $45.55 | $34,435.80 |
DisclosureSEC source: 0001397911-20-000184 · wf-form4_159959705566495.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,914.94 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 10, 2020. Read SEC document |
| August 13, 2020 Filed Aug 13, 2020 18:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 400 | $0.00 Strike: $45.55 | $0.00 |
DisclosureSEC source: 0001397911-20-000162 · wf-form4_159735860906435.xml · derivative · entry 8 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,209 Underlying: Common Stock · 400 shares Expires 2025-03-06 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 10, 2020 F6 · derivative.exercise_date: This option became exercisable in three installments, beginning March 6, 2016, which was the first anniversary of the date on which it was granted. The option became fully vested on March 6, 2018. Read SEC document |
| August 13, 2020 Filed Aug 13, 2020 18:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 400 | $85.05 | $34,020.00 |
DisclosureSEC source: 0001397911-20-000162 · wf-form4_159735860906435.xml · nonDerivative · entry 5 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,158.94 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 June 10, 2020. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.00 to $85.13, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. F5 · balance_after: Consists of (i) 171,738.94 shares of Common Stock; (ii) 25,873 restricted stock units that vest ratably on each of February 13, 2021 and 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 |
| August 13, 2020 Filed Aug 13, 2020 18:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 400 | $45.55 | $18,220.00 |
DisclosureSEC source: 0001397911-20-000162 · wf-form4_159735860906435.xml · nonDerivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,558.94 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 10, 2020 Read SEC document |
| August 11, 2020 Filed Aug 13, 2020 18:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 1,999 | $0.00 Strike: $54.81 | $0.00 |
DisclosureSEC source: 0001397911-20-000162 · wf-form4_159735860906435.xml · derivative · entry 7 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,233 Underlying: Common Stock · 1,999 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 exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2020 F7 · 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 |
| August 11, 2020 Filed Aug 13, 2020 18:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 12,753 | $0.00 Strike: $45.55 | $0.00 |
DisclosureSEC source: 0001397911-20-000162 · wf-form4_159735860906435.xml · derivative · entry 6 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,609 Underlying: Common Stock · 12,753 shares Expires 2025-03-06 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 10, 2020 F6 · derivative.exercise_date: This option became exercisable in three installments, beginning March 6, 2016, which was the first anniversary of the date on which it was granted. The option became fully vested on March 6, 2018. Read SEC document |
| August 11, 2020 Filed Aug 13, 2020 18:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 14,752 | $85.29 | $1,258,198.08 |
DisclosureSEC source: 0001397911-20-000162 · wf-form4_159735860906435.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,158.94 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 June 10, 2020. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.00 to $85.63, 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 11, 2020 Filed Aug 13, 2020 18:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 1,999 | $54.81 | $109,565.19 |
DisclosureSEC source: 0001397911-20-000162 · wf-form4_159735860906435.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,910.94 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 10, 2020 Read SEC document |
| August 11, 2020 Filed Aug 13, 2020 18:43 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 12,753 | $45.55 | $580,899.15 |
DisclosureSEC source: 0001397911-20-000162 · wf-form4_159735860906435.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 224,911.94 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 10, 2020 Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 17:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 20,000 | $0.00 Strike: $19.85 | $0.00 |
DisclosureSEC source: 0001397911-20-000130 · wf-form4_159191042699112.xml · derivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,031 Underlying: Common Stock · 20,000 shares Expires 2026-02-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 13, 2020. F6 · 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 |
| June 09, 2020 Filed Jun 11, 2020 17:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 5,099 | $86.10 | $439,023.90 |
DisclosureSEC source: 0001397911-20-000130 · wf-form4_159191042699112.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,158.94 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 13, 2020. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.00 to $86.23, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. F5 · balance_after: Consists of (i) 171,738.94 shares of Common Stock; (ii) 25,873 restricted stock units that vest ratably on each of February 13, 2021 and 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 |
| June 09, 2020 Filed Jun 11, 2020 17:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 14,901 | $85.56 | $1,274,929.56 |
DisclosureSEC source: 0001397911-20-000130 · wf-form4_159191042699112.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,257.94 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 13, 2020. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.00 to $85.99, 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 |
| June 09, 2020 Filed Jun 11, 2020 17:20 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 20,000 | $19.85 | $397,000.00 |
DisclosureSEC source: 0001397911-20-000130 · wf-form4_159191042699112.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,158.94 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 13, 2020. Read SEC document |
| June 05, 2020 Filed Jun 9, 2020 16:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,146 | $84.62 | $96,974.52 |
DisclosureSEC source: 0001397911-20-000128 · wf-form4_159173600501688.xml · nonDerivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212,158.94 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 March 13, 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 $84.30 to $84.91, 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 (5) to this Form 4. F6 · balance_after: Consists of (i) 171,738.94 shares of Common Stock; (ii) 25,873 restricted stock units that vest ratably on each of February 13, 2021 and 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 |
| June 05, 2020 Filed Jun 9, 2020 16:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,720 | $83.48 | $227,065.60 |
DisclosureSEC source: 0001397911-20-000128 · wf-form4_159173600501688.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,304.94 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 March 13, 2020. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $83.20 to $84.18, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| June 05, 2020 Filed Jun 9, 2020 16:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 11,647 | $82.62 | $962,275.14 |
DisclosureSEC source: 0001397911-20-000128 · wf-form4_159173600501688.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,024.94 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 March 13, 2020. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.20 to $83.07, 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 |
| June 05, 2020 Filed Jun 9, 2020 16:53 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 19,487 | $81.98 | $1,597,544.26 |
DisclosureSEC source: 0001397911-20-000128 · wf-form4_159173600501688.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,671.94 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 March 13, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $81.20 to $82.18, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 20:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 34,889 | $59.76 | $2,084,966.64 |
DisclosureSEC source: 0001397911-20-000066 · wf-form4_158449040128927.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 247,158.94 F2 · balance_after: Consists of (i) 206,738.94 shares of Common Stock; (ii) 25,873 restricted stock units that vest ratably on each of February 13, 2021 and 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 |
| March 13, 2020 Filed Mar 17, 2020 20:13 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 70,368 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000066 · wf-form4_158449040128927.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 282,047.94 F1 · shares: Represents shares of Common Stock received upon vesting of performance share units ("PSUs") that were granted on March 13, 2017. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2019. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 20:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 14,547 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000042 · wf-form4_158285307515900.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,679.94 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, 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) 171,259.94 shares of Common Stock; (ii) 25,873 restricted stock units that vest ratably on each of February 13, 2021 and February 13, 2022; and (iii) the restricted stock units reported on this Form 4. Read SEC document |
| February 14, 2020 Filed Feb 18, 2020 16:37 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 6,468 | $94.88 | $613,683.84 |
DisclosureSEC source: 0001397911-20-000013 · wf-form4_158206184881751.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,132.94 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 14, 2019. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.53 to $95.34, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. F3 · balance_after: Consists of (i) 171,259.94 shares of Common Stock and (ii) 25,873 restricted stock units that vest ratably on each of February 13, 2021 and February 13, 2022. Read SEC document |
| November 05, 2019 Filed Nov 8, 2019 16:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 24,183 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000156 · wf-form4_157324850454435.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,600.94 F1 · kind: This transaction was a charitable gift of securities by the reporting person. F2 · balance_after: Consists of (i) 164,791.94 shares of Common Stock and (ii) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13, 2022. Read SEC document |
| September 10, 2019 Filed Sep 12, 2019 17:14 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 48,159 | $0.00 Strike: $31.60 | $0.00 |
DisclosureSEC source: 0001397911-19-000143 · wf-form4_156832286749321.xml · derivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 48,159 shares Expires 2023-02-22 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 exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2019. F5 · derivative.exercise_date: This option became exercisable in four installments, beginning February 22, 2014, which was the first anniversary of the date on which it was granted. The option became fully vested on February 22, 2017. Read SEC document |
| September 10, 2019 Filed Sep 12, 2019 17:14 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 48,159 | $80.00 | $3,852,720.00 |
DisclosureSEC source: 0001397911-19-000143 · wf-form4_156832286749321.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,783.94 F3 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2019. F4 · balance_after: Consists of (i) 188,974.94 shares of Common Stock and (ii) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13, 2022. Read SEC document |
| September 10, 2019 Filed Sep 12, 2019 17:14 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 48,159 | $31.60 | $1,521,824.40 |
DisclosureSEC source: 0001397911-19-000143 · wf-form4_156832286749321.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 275,942.94 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 exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2019. Read SEC document |
| September 10, 2019 Filed Sep 12, 2019 17:14 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 1,062 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000143 · wf-form4_156832286749321.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,783.94 F1 · kind: This transaction was a charitable gift of securities by the reporting person. Read SEC document |
| August 22, 2019 Filed Aug 26, 2019 18:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 19,747 | $0.00 Strike: $32.26 | $0.00 |
DisclosureSEC source: 0001397911-19-000127 · wf-form4_156685727258746.xml · derivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,747 shares Expires 2022-02-09 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. F5 · derivative.exercise_date: This option became exercisable in five installments, beginning February 9, 2013, which was the first anniversary of the date on which it was granted. The option became fully vested on February 9, 2017. Read SEC document |
| August 22, 2019 Filed Aug 26, 2019 18:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 400 | $76.64 | $30,656.00 |
DisclosureSEC source: 0001397911-19-000127 · wf-form4_156685727258746.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,845.94 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, 2019. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.43 to $76.90, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. Read SEC document |
| August 22, 2019 Filed Aug 26, 2019 18:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 19,347 | $75.26 | $1,456,055.22 |
DisclosureSEC source: 0001397911-19-000127 · wf-form4_156685727258746.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,245.94 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, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.01 to $75.88, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) 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.