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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
2021-06-07 SCHIFTER RICHARD P Director Grant or award +33 50,860.83
2021-06-07 Putnam James S Director Grant or award +1 132,488.5
2021-06-07 Putnam James S Director Grant or award +17 132,505.5
2021-06-07 Mnookin Allison Director Grant or award +1 8,064
2021-06-07 Mnookin Allison Director Grant or award +4 8,068
2021-06-07 Glavin William Francis Jr Director Grant or award +1 18,369
2021-06-07 Glavin William Francis Jr Director Grant or award +24 18,393
2021-06-07 EBERHART PAULETT Director Grant or award +1 21,184
2021-06-07 EBERHART PAULETT Director Grant or award +8 21,192
2021-06-07 BERNARD EDWARD C Director Grant or award +1 10,849
2021-06-07 BERNARD EDWARD C Director Grant or award +6 10,855
2021-05-25 Fandrey Edward Managing Director Shares withheld for taxes −1,509 $146.86 $222K 26,666
2021-05-12 White George Burton Managing Director Option exercise +25,210 $31.60 $797K 63,102
2021-05-12 White George Burton Managing Director Option exercise +27,936 $45.55 $1.3M 91,038
2021-05-12 White George Burton Managing Director Sale −4,150 $143.16 $594K 86,888
2021-05-12 White George Burton Managing Director Sale −877 $144.28 $127K 86,011
2021-05-12 White George Burton Managing Director Sale −3,535 $145.37 $514K 82,476
2021-05-12 White George Burton Managing Director Sale −17,780 $146.40 $2.6M 64,696
2021-05-12 White George Burton Managing Director Sale −18,423 $147.17 $2.7M 46,273
2021-05-12 White George Burton Managing Director Sale −4,280 $148.32 $635K 41,993

Page 43 of 62 · 1,239 trades