Filing Details
- Accession Number:
- 0001397911-20-000201
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-12 17:38:50
- Reporting Period:
- 2020-11-09
- Accepted Time:
- 2020-11-12 17:38:50
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1397911 | Lpl Financial Holdings Inc. | LPLA | Security & Commodity Brokers, Dealers, Exchanges & Services (6200) | 203717839 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1750576 | Richard Steinmeier | C/O Lpl Financial Holdings Inc. 4707 Executive Drive San Diego CA 92121 | Managing Director | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2020-11-09 | 3,984 | $86.00 | 20,837 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Footnotes
- The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2020.
- Consists of (i) 15,072 restricted stock units that vest ratably on each of September 7, 2021 and September 7, 2022; (ii) 1,633 restricted stock units that vest ratably on each of February 25,2021 and February 25, 2022; and (iii) 4,132 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023.
Billionaire Hedge Funds
