Form 4 for LPLA LPL Financial Holdings Inc.
Accepted 2022-03-01 00:00:00 ET · period of report 2022-02-25 · accession 0001397911-22-000026 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| M | 2022-03-01 | 2022-02-28 | LPLA | Fandrey Edward | Managing Dir | S - Sale | $180.85 | -1,255 | 15.3K | -8% | -$227.0K |
| 2022-03-01 | 2022-02-25 | LPLA | Fandrey Edward | Managing Dir | F - Tax | $182.73 | -1,114 | 16.5K | -6% | -$203.6K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-02-28 | S | D | 205 | $180.51 | 15,919 | D | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.30 to $180.96, 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. |
| 2 | Common | Common Stock | 2022-02-28 | S | D | 420 | $179.67 | 16,124 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.18 to $180.04, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. |
| 3 | Common | Common Stock | 2022-02-25 | F | D | 1,114 | $182.73 | 16,544 | D | — | — | |
| 4 | Common | Common Stock | 2022-02-28 | S | D | 630 | $181.75 | 15,289 | D | — | — | (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.33 to $182.22, 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) Consists of (i) 885 shares of Common Stock; (ii) 12,002 restricted stock units that vest in four installments as follows: 1,953 restricted stock units on each of May 25, 2022, August 25, 2022 and November 25, 2022; and 6,143 restricted stock units on February 25, 2023; and (iii) 2,402 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024. |