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CIK 0001397911 · Large accelerated filer

LPL Financial Holdings Inc.

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Ticker
LPLA
Exchange
Nasdaq
Industry
Security & Commodity Brokers, Dealers, Exchanges & Services
FY end
Dec 31
Incorporated
DE
Entity type
operating
EIN
203717839
Phone
800-877-7210
Business address
4707 EXECUTIVE DRIVE, SAN DIEGO, CA, 92121
Former names
LPL Investment Holdings Inc.
Open-market buys, last 90 days
$0
in 0 filings
Open-market sales, last 90 days
$1,726,927
in 3 filings, $110K under 10b5-1 plans

Net −$1,726,927. Shares bought or sold at a price by officers, directors and 10% owners (Form 4 codes P and S). Grants, option exercises and tax withholding aren't counted.

Pace of trading Bought Sold

Who's trading

90 days

  1. Gates Greg −$1.5M Group Managing Director sold 15% of stake
  2. Reeping Katharine −$153K Principal Accounting Officer sold 20% of stake
  3. Jambusaria Aneri −$110K Group Managing Director sold 5% of stake

Reading 100 more Form 4s from the SEC; this list fills in as they're read.

Date Insider Transaction Shares Price Value Owned after
2023-12-22 SCHIFTER RICHARD P Director Gift −148 41,434.83
2023-12-22 SCHIFTER RICHARD P Director Gift −148 41,286.83
2023-12-22 SCHIFTER RICHARD P Director Gift −148 41,138.83
2023-12-22 SCHIFTER RICHARD P Director Gift −148 40,990.83
2023-12-22 SCHIFTER RICHARD P Director Gift −148 40,842.83
2023-12-22 SCHIFTER RICHARD P Director Gift −148 40,694.83
2023-12-22 SCHIFTER RICHARD P Director Gift −148 40,546.83
2023-12-12 Arnold Dan H. President & CEO Gift −4,400 137,043.94
2023-11-27 Thomas Corey E. Director Grant or award +1 11,791
2023-11-27 Thomas Corey E. Director Grant or award +9 11,800
2023-11-27 SCHIFTER RICHARD P Director Grant or award +1 42,149.83
2023-11-27 SCHIFTER RICHARD P Director Grant or award +25 42,174.83
2023-11-27 Putnam James S Director Grant or award +1 135,269.5
2023-11-27 Putnam James S Director Grant or award +14 135,283.5
2023-11-27 Mnookin Allison Director Grant or award +1 9,713
2023-11-27 Mnookin Allison Director Grant or award +5 9,718
2023-11-27 Glavin William Francis Jr Director Grant or award +1 21,211
2023-11-27 Glavin William Francis Jr Director Grant or award +19 21,230
2023-11-27 EBERHART PAULETT Director Grant or award +1 19,993
2023-11-27 EBERHART PAULETT Director Grant or award +8 20,001

Page 21 of 62 · 1,239 trades