Form 4 for LPLA LPL Financial Holdings Inc.
Accepted 2024-02-27 00:00:00 ET · period of report 2024-02-25 · accession 0001397911-24-000029 · 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 | 2024-02-27 | 2024-02-26 | LPLA | Sethi Kabir | Managing Dir | S - Sale | $266.50 | -1,300 | 10.2K | -11% | -$346.5K |
| 2024-02-27 | 2024-02-25 | LPLA | Sethi Kabir | Managing Dir | F - Tax | $263.36 | -192 | 11.5K | -2% | -$50.6K |
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 | 2024-02-26 | S | D | 73 | $263.59 | 11,472 | D | — | — | (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. |
| 2 | Common | Common Stock | 2024-02-26 | S | D | 662 | $266.12 | 10,810 | D | — | — | (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. |
| 3 | Common | Common Stock | 2024-02-26 | S | D | 323 | $266.89 | 10,487 | D | — | — | (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. |
| 4 | Common | Common Stock | 2024-02-25 | F | D | 192 | $263.36 | 11,545 | D | — | — | |
| 5 | Common | Common Stock | 2024-02-26 | S | D | 242 | $267.90 | 10,245 | D | — | — | (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. |