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 22, 2019 Filed Aug 26, 2019 18:08 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 19,747 | $32.26 | $637,038.22 |
DisclosureSEC source: 0001397911-19-000127 · wf-form4_156685727258746.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,592.94 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, 2019. Read SEC document |
| May 03, 2019 Filed May 7, 2019 17:55 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 1,222 | $0.00 Strike: $32.26 | $0.00 |
DisclosureSEC source: 0001397911-19-000067 · wf-form4_155726612003185.xml · derivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,747 Underlying: Common Stock · 1,222 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. F4 · 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 |
| May 03, 2019 Filed May 7, 2019 17:55 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,222 | $85.00 | $103,870.00 |
DisclosureSEC source: 0001397911-19-000067 · wf-form4_155726612003185.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,845.94 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 1, 2018. F3 · balance_after: Consists of (i) 190,036.94 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 |
| May 03, 2019 Filed May 7, 2019 17:55 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 1,222 | $32.26 | $39,421.72 |
DisclosureSEC source: 0001397911-19-000067 · wf-form4_155726612003185.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,067.94 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 1, 2018. Read SEC document |
| February 26, 2019 Filed Feb 26, 2019 21:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 6,198 | $0.00 Strike: $32.26 | $0.00 |
DisclosureSEC source: 0001397911-19-000019 · wf-form4_155123424733018.xml · derivative · entry 5 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,969 Underlying: Common Stock · 6,198 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. 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 1, 2018. F7 · 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 |
| February 26, 2019 Filed Feb 26, 2019 21:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 7,113 | $77.34 | $550,119.42 |
DisclosureSEC source: 0001397911-19-000019 · wf-form4_155123424733018.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 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 1, 2018. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.86 to $77.70, 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 ranges set forth in this footnote (4) to this Form 4. F5 · balance_after: Consists of (i) 190,036.94 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 |
| February 26, 2019 Filed Feb 26, 2019 21:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 6,198 | $32.26 | $199,947.48 |
DisclosureSEC source: 0001397911-19-000019 · wf-form4_155123424733018.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 235,958.94 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. 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 1, 2018. Read SEC document |
| February 26, 2019 Filed Feb 26, 2019 21:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 3,226 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-19-000019 · wf-form4_155123424733018.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,760.94 F1 · kind: The charitable gift reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2018. Read SEC document |
| February 25, 2019 Filed Feb 26, 2019 21:24 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 68,820 | $0.00 Strike: $77.53 | $0.00 |
DisclosureSEC source: 0001397911-19-000019 · wf-form4_155123424733018.xml · derivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,820 Underlying: Common Stock · 68,820 shares Expires 2029-02-25 F6 · derivative.exercise_date: This option becomes exercisable in three equal annual installments on each of February 25, 2020, February 25, 2021 and February 25, 2022. Read SEC document |
| January 16, 2019 Filed Jan 18, 2019 18:05 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 36,774 | $0.00 Strike: $34.61 | $0.00 |
DisclosureSEC source: 0001397911-19-000004 · wf-form4_154785272876398.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 · 36,774 shares Expires 2020-12-22 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. F3 · derivative.exercise_date: This option became exercisable in five installments, beginning December 22, 2011, which was the first anniversary of the date on which it was granted. The option became fully vested on December 22, 2015. Read SEC document |
| January 16, 2019 Filed Jan 18, 2019 18:05 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 36,774 | $70.00 | $2,574,180.00 |
DisclosureSEC source: 0001397911-19-000004 · wf-form4_154785272876398.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,986.94 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 1, 2018. F2 · balance_after: Consists of (i) 187,064.94 shares of Common Stock; (ii) 4,002 restricted stock units that vest on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; and (iv) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13, 2022. Read SEC document |
| January 16, 2019 Filed Jan 18, 2019 18:05 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 36,774 | $34.61 | $1,272,748.14 |
DisclosureSEC source: 0001397911-19-000004 · wf-form4_154785272876398.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,760.94 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. Read SEC document |
| November 13, 2018 Filed Nov 28, 2018 20:31 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GiftCommon Stock | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-18-000211 · wf-form4_154345504527559.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,986.94 F1 · kind: The charitable gift reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2018. F2 · balance_after: Consists of (i) 187,064.94 shares of Common Stock; (ii) 4,002 restricted stock units that vest on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; and (iv) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13, 2022. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 17:30 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 3,226 | $0.00 Strike: $34.61 | $0.00 |
DisclosureSEC source: 0001397911-18-000159 · wf-form4_153333183686193.xml · derivative · entry 5 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,774 Underlying: Common Stock · 3,226 shares Expires 2020-12-22 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. F5 · derivative.exercise_date: This option became exercisable in five installments, beginning December 22, 2011, which was the first anniversary of the date on which it was granted. The option became fully vested on December 22, 2015. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 17:30 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 10,000 | $0.00 Strike: $22.08 | $0.00 |
DisclosureSEC source: 0001397911-18-000159 · wf-form4_153333183686193.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 · 10,000 shares Expires 2019-09-14 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. F4 · derivative.exercise_date: This option became exercisable in five installments, beginning September 14, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on September 14, 2014. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 17:30 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 3,226 | $34.61 | $111,651.86 |
DisclosureSEC source: 0001397911-18-000159 · wf-form4_153333183686193.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,986.94 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. F3 · balance_after: Consists of (i) 191,064.94 shares of Common Stock; (ii) 4,002 restricted stock units that vest on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; and (iv) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13 2022. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 17:30 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 6,000 | $66.90 | $401,400.00 |
DisclosureSEC source: 0001397911-18-000159 · wf-form4_153333183686193.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,760.94 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 1, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.53 to $67.29, 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 ranges set forth in this footnote (2) to this Form 4. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 17:30 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 10,000 | $22.08 | $220,800.00 |
DisclosureSEC source: 0001397911-18-000159 · wf-form4_153333183686193.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 239,760.94 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. Read SEC document |
| March 07, 2018 Filed Mar 8, 2018 19:05 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 10,000 | $0.00 Strike: $22.08 | $0.00 |
DisclosureSEC source: 0001397911-18-000043 · wf-form4_152055390113612.xml · derivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 10,000 shares Expires 2019-09-14 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 four installments, beginning September 14, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on September 14, 2013. Read SEC document |
| March 07, 2018 Filed Mar 8, 2018 19:05 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 10,000 | $63.50 | $635,000.00 |
DisclosureSEC source: 0001397911-18-000043 · wf-form4_152055390113612.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,760.94 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 August 23, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.87 to $63.88, 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 ranges set forth in this footnote (3) to this Form 4. F4 · balance_after: Consists of (i) 183,838.94 shares of Common Stock; (ii) 4,002 restricted stock units that vest on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; and (iv) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13 2022. Read SEC document |
| March 07, 2018 Filed Mar 8, 2018 19:05 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 10,000 | $22.08 | $220,800.00 |
DisclosureSEC source: 0001397911-18-000043 · wf-form4_152055390113612.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 239,760.94 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. Read SEC document |
| March 07, 2018 Filed Mar 8, 2018 19:05 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 1,206 | $63.15 | $76,158.90 |
DisclosureSEC source: 0001397911-18-000043 · wf-form4_152055390113612.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,760.94 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 August 23, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.86 to $63.59, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4. Read SEC document |
| February 26, 2018 Filed Feb 27, 2018 19:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,004 | $65.20 | $261,060.80 |
DisclosureSEC source: 0001397911-18-000017 · wf-form4_151977766618922.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,966.94 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 August 23, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $65.02 to $65.40, 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 ranges set forth in this footnote (2) to this Form 4. F3 · balance_after: Consists of (i) 183,838.94 shares of Common Stock; (ii) 1,206 restricted stock units that vest on March 6, 2018; (iii) 4,002 restricted stock units that vest in full on February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13 2022. Read SEC document |
| February 23, 2018 Filed Feb 27, 2018 19:28 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 77,606 | $0.00 Strike: $65.50 | $0.00 |
DisclosureSEC source: 0001397911-18-000017 · wf-form4_151977766618922.xml · derivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,606 Underlying: Common Stock · 77,606 shares Expires 2028-02-23 F4 · derivative.exercise_date: This option becomes exercisable in three equal installments on each of February 23, 2019, February 23, 2020 and February 23, 2021. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 16:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 3,742 | $0.00 Strike: $27.80 | $0.00 |
DisclosureSEC source: 0001397911-17-000190 · wf-form4_151095485557147.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 · 3,742 shares Expires 2018-02-05 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. F4 · derivative.exercise_date: This option became exercisable in five installments, beginning on February 5, 2009, which was the first anniversary of the date on which it was granted. The option became fully vested on February 5, 2013. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 16:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 3,742 | $48.54 | $181,636.68 |
DisclosureSEC source: 0001397911-17-000190 · wf-form4_151095485557147.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,970.94 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 August 23, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.29 to $48.85, 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 ranges set forth in this footnote (2) to this Form 4. F3 · balance_after: Consists of (i) 183,838.94 shares of Common Stock; (ii) 1,206 restricted stock units that vest on March 6, 2018; (iii) 8,006 restricted stock units that vest ratably on February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13, 2022. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 16:41 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 3,742 | $27.80 | $104,027.60 |
DisclosureSEC source: 0001397911-17-000190 · wf-form4_151095485557147.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 238,712.94 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. Read SEC document |
| August 23, 2017 Filed Aug 25, 2017 17:46 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionOption to purchase Common Stock · Derivative | 17,985 | $0.00 Strike: $27.80 | $0.00 |
DisclosureSEC source: 0001397911-17-000164 · wf-form4_150369756307197.xml · derivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,742 Underlying: Common Stock · 17,985 shares Expires 2018-02-05 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 · derivative.exercise_date: This option became exercisable in five equal installments, beginning on February 5, 2009, which was the first anniversary of the date on which it was granted. The option became fully vested on February 5, 2013. Read SEC document |
| August 23, 2017 Filed Aug 25, 2017 17:46 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Exercise / conversionCommon Stock | 17,985 | $27.80 | $499,983.00 |
DisclosureSEC source: 0001397911-17-000164 · wf-form4_150369756307197.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,970.94 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 · balance_after: Consists of (i) 183,838.94 shares of Common Stock; (ii) 1,206 restricted stock units that vest on March 6, 2018; (iii) 8,006 restricted stock units that vest ratably on February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13, 2022. Read SEC document |
| March 14, 2017 Filed Mar 15, 2017 20:51 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 9,122 | $39.17 | $357,308.74 |
DisclosureSEC source: 0001397911-17-000063 · wf-form4_148962547232990.xml · nonDerivative · entry 3 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,985.94 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $39.01 to $39.32, 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 ranges set forth in this footnote (2) to this Form 4. F3 · balance_after: Consists of (i) 165,853.94 shares of Common Stock; (ii) 1,206 restricted stock units that vest on March 6, 2018; (iii) 8,006 restricted stock units that vest ratably on February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13, 2022. Read SEC document |
| March 14, 2017 Filed Mar 15, 2017 20:51 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 4,004 | $39.13 | $156,676.52 |
DisclosureSEC source: 0001397911-17-000063 · wf-form4_148962547232990.xml · nonDerivative · entry 2 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,107.94 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $39.01 to $39.23, 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 ranges set forth in this footnote (1) to this Form 4. Read SEC document |
| March 14, 2017 Filed Mar 15, 2017 20:51 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 2,302 | $39.03 | $89,847.06 |
DisclosureSEC source: 0001397911-17-000063 · wf-form4_148962547232990.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,111.94 Read SEC document |
| March 13, 2017 Filed Mar 15, 2017 20:51 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantOption to purchase Common Stock · Derivative | 123,131 | $0.00 Strike: $39.48 | $0.00 |
DisclosureSEC source: 0001397911-17-000063 · wf-form4_148962547232990.xml · derivative · entry 4 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,131 Underlying: Common Stock · 123,131 shares Expires 2027-03-13 F4 · derivative.exercise_date: This option becomes exercisable in three equal installments on each of March 13, 2018, March 13, 2019 and March 13, 2020. Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 21:39 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 38,809 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-17-000007 · wf-form4_148721272854637.xml · nonDerivative · entry 1 Arnold Dan H. · CIK 0001487487 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,413.94 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 13, 2020, February 13, 2021 and February 13, 2022. Vested shares will be issued to the reporting person as soon as practicable after the applicable vesting date. F2 · balance_after: Consists of (i) 165,853.94 shares of Common Stock; (ii) 1,094 restricted stock units that vest in full on February 24, 2017; (iii) 9,122 restricted stock units that vest in full on February 24, 2017; (iv) 2,414 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (v) 12,010 restricted stock units that vest ratably on February 25, 2017, February 25, 2018, and February 25, 2019; (vi) 3,111 restricted stock units that vest in full on February 25, 2019; and (vii) the restricted stock units reported on 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.