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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
2021-05-10 Arnold Dan H. President & CEO Sale −7,851 $154.78 $1.2M 206,221.94
2021-05-10 Arnold Dan H. President & CEO Sale −700 $155.81 $109K 205,521.94
2021-05-10 Arnold Dan H. President & CEO Sale −1,507 $156.56 $236K 204,014.94
2021-05-10 Arnold Dan H. President & CEO Option exercise · Option to purchase Common Stock −15,594 0
2021-05-06 Thomas Corey E. Director Grant or award +1,051 8,518
2021-05-06 Thomas Corey E. Director Grant or award +542 9,060
2021-05-06 SCHIFTER RICHARD P Director Grant or award +1,051 50,284.83
2021-05-06 SCHIFTER RICHARD P Director Grant or award +542 50,826.83
2021-05-06 Putnam James S Director Grant or award +1,051 132,487.5
2021-05-06 MULCAHY ANNE M Director Grant or award +1,051 31,213
2021-05-06 MULCAHY ANNE M Director Grant or award +542 31,755
2021-05-06 Mnookin Allison Director Grant or award +1,051 8,063
2021-05-06 Glavin William Francis Jr Director Grant or award +1,051 17,826
2021-05-06 Glavin William Francis Jr Director Grant or award +542 18,368
2021-05-06 EBERHART PAULETT Director Grant or award +1,051 21,183
2021-05-06 BERNARD EDWARD C Director Grant or award +1,051 10,306
2021-05-06 BERNARD EDWARD C Director Grant or award +542 10,848
2021-03-30 Thomas Corey E. Director Grant or award +4 7,461
2021-03-30 Thomas Corey E. Director Grant or award +6 7,467
2021-03-30 SCHIFTER RICHARD P Director Grant or award +4 49,204.83

Page 45 of 62 · 1,239 trades