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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
2021-08-27 SCHIFTER RICHARD P Director Grant or award +1 50,861.83
2021-08-27 SCHIFTER RICHARD P Director Grant or award +33 50,894.83
2021-08-27 Putnam James S Director Grant or award +1 132,506.5
2021-08-27 Putnam James S Director Grant or award +17 132,523.5
2021-08-27 Mnookin Allison Director Grant or award +1 8,069
2021-08-27 Mnookin Allison Director Grant or award +4 8,073
2021-08-27 Glavin William Francis Jr Director Grant or award +1 18,394
2021-08-27 Glavin William Francis Jr Director Grant or award +24 18,418
2021-08-27 EBERHART PAULETT Director Grant or award +1 21,193
2021-08-27 EBERHART PAULETT Director Grant or award +8 21,201
2021-08-27 BERNARD EDWARD C Director Grant or award +1 10,856
2021-08-27 BERNARD EDWARD C Director Grant or award +6 10,862
2021-08-26 Fandrey Edward Managing Director Sale −1,784 $148.78 $265K 21,197
2021-08-25 Fandrey Edward Managing Director Shares withheld for taxes −1,755 $148.37 $260K 22,981
2021-08-20 Arnold Dan H. President & CEO Gift −23,000 181,014.94
2021-08-16 Larsen Sallie R. Managing Director Sale −8,669 $143.98 $1.2M 9,462
2021-08-16 Oroschakoff Michelle Managing Director Option exercise +8,715 $48.09 $419K 33,107.15
2021-08-16 Oroschakoff Michelle Managing Director Option exercise +6,455 $45.55 $294K 39,562.15
2021-08-16 Oroschakoff Michelle Managing Director Option exercise +4,830 $45.55 $220K 44,392.15
2021-08-16 Oroschakoff Michelle Managing Director Sale −5,848 $143.69 $840K 38,544.15

Page 41 of 62 · 1,239 trades