Steinmeier Richard's Form 4 filing
LPL Financial Holdings Inc. (LPLA) · filed Aug 8, 2022
- Accession no.
- 0001397911-22-000124
- Filed
- Aug 8, 2022
- Trade date
- Aug 4, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.59M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Steinmeier RichardCIK 0001750576 | Officer (Managing Director) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 4, 2022 | Common Stock | MOption exerciseAcquired | +7,355 | $77.53 | +$570,233.15 | 31,433 | Direct | |
| Aug 4, 2022 | Common Stock | SSaleDisposed | −7,355 | $216.64 | −$1,593,387.2 | 24,078 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 4, 2022 | Common Stock | MOption exerciseDisposed | −7,355 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.
Remarks
The signatory is signing on behalf of Richard Steinmeier pursuant to a Power of Attorney dated August 21, 2018.