Key facts
- This page summarizes Corey E. Thomas's Form 4 filing for LPL Financial Holdings Inc. (LPLA).
- 2 reported transactions and 0 derivative rows are listed below.
- Accepted by SEC: 16 May 2023, 16:08.
Corey E. Thomas - 12 May 2023 Form 4 Insider Report for LPL Financial Holdings Inc. (LPLA)
- Reporting relationship
- Director
- Issuer ticker
- LPLA
- Reported as of
- 12 May 2023
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 16 May 2023, 16:08:19 UTC
- Prior SEC filing
- 30 Mar 2023
- Next SEC filing
- 17 May 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Gregory M. Woods, attorney-in-fact
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Corey E. Thomas filed Form 4 for LPL Financial Holdings Inc. (LPLA) on 16 May 2023.
Change
- Previous filing in this sequence was filed on 30 Mar 2023.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
LPLA
transaction
Common Stock
Award
- Transaction value
- $0
- Shares
- +784
- Change %
- +7.5%
- Price
- $0.000000
- Shares after
- 11,261
- Date
- 12 May 2023
- Ownership
- Direct
- Footnotes
- F1
LPLA
transaction
Common Stock
Award
- Transaction value
- $0
- Shares
- +506
- Change %
- +4.5%
- Price
- $0.000000
- Shares after
- 11,767
- Date
- 12 May 2023
- Ownership
- Direct
- Footnotes
- F2
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 2 footnotes
Footnote F1
Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP") pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy").
Footnote F2
Represents stock units granted under the 2021 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. These stock units are subject to a written deferral election under the DDCP pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy.
SEC remarks
The signatory is signing on behalf of Corey E. Thomas pursuant to a Power of Attorney dated April 29, 2019.