Form 4 for LPLA LPL Financial Holdings Inc.
Accepted 2023-09-05 00:00:00 ET · period of report 2023-08-22 · accession 0001397911-23-000145 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-09-05 | 2023-08-22 | LPLA | Enyedi Matthew | Managing Dir | M - OptEx | $45.55 | +3,265 | 13.2K | +33% | +$148.7K |
| D | 2023-09-05 | 2023-08-22 | LPLA | Enyedi Matthew | Managing Dir | S - Sale+OE | $230.86 | -3,265 | 9,978 | -25% | -$753.8K |
| DM | 2023-09-05 | 2023-08-22 | LPLA | Enyedi Matthew | Managing Dir | M - OptEx | $0.00 | -3,265 | 1,381 | -70% | $0 |
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 | 2023-08-22 | M | A | 2,615 | $45.55 | 12,593 | D | — | — | |
| 2 | Common | Common Stock | 2023-08-22 | M | A | 650 | $45.55 | 13,243 | D | — | — | |
| 3 | Common | Common Stock | 2023-08-22 | S | D | 3,265 | $230.86 | 9,978 | D | — | — | (F3) Consists of (i) 6,828 shares of Common Stock; (ii) 655 restricted stock units that vest in full on February 25, 2024; (iii) 1,014 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 1,481 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026. |
| 4 | Derivative | Option to purchase Common Stock | 2023-08-22 | M | D | 2,615 | $0.00 | 0 | D | $45.55 · — to 2025-03-06 | 2,615 Common Stock | (F4) This option became exercisable in three installments, beginning on 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. |
| 5 | Derivative | Option to purchase Common Stock | 2023-08-22 | M | D | 650 | $0.00 | 1,381 | D | $45.55 · 2018-03-06 to 2025-03-06 | 650 Common Stock | (F5) This option became exercisable in full on the third anniversary of the date on which it was granted. |