Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LPL Financial Holdings Inc.LPLA · Entity 3160 | Managing Director | February 25, 2024 | February 28, 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 February 25, 2024 · Filed February 28, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 11,545 |
Reported balance
After 2024-02-25 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-02-25 · Tax withholding · Disposed 192 · Balance 11,545 |
| Common StockSEC Table I · non-derivative | Direct | 11,472 |
Reported balance
After 2024-02-26 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2024-02-26 · Sale · Disposed 73 · Balance 11,472 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2023. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $262.87 to $263.76, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. |
| Common StockSEC Table I · non-derivative | Direct | 10,810 |
Reported balance
After 2024-02-26 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2024-02-26 · Sale · Disposed 662 · Balance 10,810 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2023. F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $265.56 to $266.55, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. |
| Common StockSEC Table I · non-derivative | Direct | 10,487 |
Reported balance
After 2024-02-26 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2024-02-26 · Sale · Disposed 323 · Balance 10,487 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2023. F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $266.56 to $267.51, 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 (4) to this Form 4. |
| Common StockSEC Table I · non-derivative | Direct | 10,245 |
Reported balance
After 2024-02-26 transaction · row 5
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 5 · 2024-02-26 · Sale · Disposed 242 · Balance 10,245 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2023. F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $267.58 to $268.25, 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: Consists of (i) 1,189 shares of Common Stock; (ii) 8,072 restricted stock units that vest ratably on each of May 6, 2024 and May 6, 2025; and (iii) 984 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2023.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $262.87 to $263.76, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $265.56 to $266.55, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $266.56 to $267.51, 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 (4) to this Form 4.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $267.58 to $268.25, 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: Consists of (i) 1,189 shares of Common Stock; (ii) 8,072 restricted stock units that vest ratably on each of May 6, 2024 and May 6, 2025; and (iii) 984 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026.
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 26, 2024 Filed Feb 28, 2024 01:04 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 242 | $267.90 | $64,831.80 |
DisclosureSEC source: 0001397911-24-000029 · wk-form4_1709082243.xml · nonDerivative · entry 5 Sethi Kabir · CIK 0001927665 · Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 10,245 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 November 20, 2023. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $267.58 to $268.25, 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) 1,189 shares of Common Stock; (ii) 8,072 restricted stock units that vest ratably on each of May 6, 2024 and May 6, 2025; and (iii) 984 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026. Read SEC document |
| February 26, 2024 Filed Feb 28, 2024 01:04 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 323 | $266.89 | $86,205.47 |
DisclosureSEC source: 0001397911-24-000029 · wk-form4_1709082243.xml · nonDerivative · entry 4 Sethi Kabir · CIK 0001927665 · Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 10,487 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 November 20, 2023. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $266.56 to $267.51, 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 (4) to this Form 4. Read SEC document |
| February 26, 2024 Filed Feb 28, 2024 01:04 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 662 | $266.12 | $176,171.44 |
DisclosureSEC source: 0001397911-24-000029 · wk-form4_1709082243.xml · nonDerivative · entry 3 Sethi Kabir · CIK 0001927665 · Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 10,810 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 November 20, 2023. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $265.56 to $266.55, 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 26, 2024 Filed Feb 28, 2024 01:04 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | SaleCommon Stock | 73 | $263.59 | $19,242.07 |
DisclosureSEC source: 0001397911-24-000029 · wk-form4_1709082243.xml · nonDerivative · entry 2 Sethi Kabir · CIK 0001927665 · Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 11,472 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 November 20, 2023. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $262.87 to $263.76, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Read SEC document |
| February 25, 2024 Filed Feb 28, 2024 01:04 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 192 | $263.36 | $50,565.12 |
DisclosureSEC source: 0001397911-24-000029 · wk-form4_1709082243.xml · nonDerivative · entry 1 Sethi Kabir · CIK 0001927665 · Managing Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 11,545 Read SEC document |
| May 06, 2023 Filed May 9, 2023 21:12 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | Tax withholdingCommon Stock | 1,847 | $190.82 | $352,444.54 |
DisclosureSEC source: 0001397911-23-000076 · wf-form4_168366672339430.xml · nonDerivative · entry 1 Sethi Kabir · CIK 0001927665 · Managing Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,737 F1 · balance_after: Consists of (i) 2,189 shares of Common Stock; (ii) 8,072 restricted stock units that vest ratably on each of May 6, 2024 and May 6, 2025; and (iii) 1,476 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026. Read SEC document |
| February 25, 2023 Filed Feb 28, 2023 23:52 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,476 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-23-000042 · wf-form4_167762834653766.xml · nonDerivative · entry 1 Sethi Kabir · CIK 0001927665 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,584 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, 2024, February 25, 2025, and February 25, 2026. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. F2 · balance_after: Consists of (i) 12,108 restricted stock units that vest ratably on each of May 6, 2023, May 6, 2024, and May 6, 2025; and (ii) the restricted stock units reported on this Form 4. Read SEC document |
| May 06, 2022 Filed May 10, 2022 20:38 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 12,108 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-017447 · doc4.xml · nonDerivative · entry 1 Sethi Kabir · CIK 0001927665 · Managing Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,108 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 May 6, 2023, May 6, 2024, and May 6, 2025. Vested shares will be issued to the Reporting Person as soon as practicable after the vesting date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.