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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
2021-11-29 Mnookin Allison Director Grant or award +4 8,078
2021-11-29 Glavin William Francis Jr Director Grant or award +1 18,419
2021-11-29 Glavin William Francis Jr Director Grant or award +23 18,442
2021-11-29 EBERHART PAULETT Director Grant or award +1 21,202
2021-11-29 EBERHART PAULETT Director Grant or award +7 21,209
2021-11-29 BERNARD EDWARD C Director Grant or award +1 10,863
2021-11-29 BERNARD EDWARD C Director Grant or award +6 10,869
2021-11-24 Fandrey Edward Managing Director Shares withheld for taxes −1,755 $171.99 $302K 19,442
2021-11-16 Arnold Dan H. President & CEO Gift −3,571 177,443.94
2021-11-16 Oroschakoff Michelle Managing Director Option exercise +11,309 $45.55 $515K 37,516.15
2021-11-16 Oroschakoff Michelle Managing Director Option exercise +8,691 $19.85 $173K 46,207.15
2021-11-16 Oroschakoff Michelle Managing Director Sale −12,610 $166.43 $2.1M 33,597.15
2021-11-16 Oroschakoff Michelle Managing Director Sale −1,470 $167.68 $246K 32,127.15
2021-11-16 Oroschakoff Michelle Managing Director Sale −2,000 $168.72 $337K 30,127.15
2021-11-16 Oroschakoff Michelle Managing Director Sale −930 $169.49 $158K 29,197.15
2021-11-16 Oroschakoff Michelle Managing Director Option exercise · Option to purchase Common Stock −11,309 0
2021-11-16 Oroschakoff Michelle Managing Director Option exercise · Option to purchase Common Stock −8,691 27,160
2021-09-07 Steinmeier Richard Managing Director Shares withheld for taxes −3,736 $147.69 $552K 19,166
2021-08-27 Thomas Corey E. Director Grant or award +1 9,072
2021-08-27 Thomas Corey E. Director Grant or award +10 9,082

Page 40 of 62 · 1,239 trades