InsiderTrades

Form 4 for LPLA LPL Financial Holdings Inc.

Accepted 2021-07-21 00:00:00 ET · period of report 2021-07-20 · accession 0001397911-21-000144 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X Filed Traded Ticker Insider Title Type Price Qty Owned ΔOwn Value
D 2021-07-21 2021-07-20 LPLA Enyedi Matthew Managing Dir S - Sale+OE $130.00 -7,712 4,772 -62% -$1.00M
DM 2021-07-21 2021-07-20 LPLA Enyedi Matthew Managing Dir M - OptEx $44.08 +7,712 7,084 New +$339.9K
DM 2021-07-21 2021-07-20 LPLA Enyedi Matthew Managing Dir M - OptEx $0.00 -7,712 0 -100% $0

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Common Stock 2021-07-20 S D 7,712 $130.00 4,772 D — — (F3) Consists of (i) 984 shares of Common Stock; (ii) 417 restricted stock units that vest in full on February 25, 2022; (iii) 1,406 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 1,965 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024.
2 Common Common Stock 2021-07-20 M A 5,400 $39.48 12,484 D — —
3 Common Common Stock 2021-07-20 M A 2,312 $54.81 7,084 D — —
4 Derivative Option to purchase Common Stock 2021-07-20 M D 5,400 $0.00 5,154 D $39.48 · — to 2027-03-13 5,400 Common Stock (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.
5 Derivative Option to purchase Common Stock 2021-07-20 M D 2,312 $0.00 0 D $54.81 · — to 2024-02-24 2,312 Common Stock (F4) 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.