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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
2021-02-25 Audette Matthew J Chief Financial Officer Gift −1,500 11,626
2021-02-25 Audette Matthew J Chief Financial Officer Shares withheld for taxes −1,488 $132.10 $197K 10,138
2021-02-25 Audette Matthew J Chief Financial Officer Grant or award +3,767 13,905
2021-02-25 Arnold Dan H. President & CEO Shares withheld for taxes −2,291 $132.10 $303K 191,829.94
2021-02-25 Arnold Dan H. President & CEO Grant or award +14,743 206,572.94
2021-02-24 Seese Scott Managing Director Sale −4,661 $134.94 $629K 24,860
2021-02-24 Oroschakoff Michelle Managing Director Sale −513 $134.94 $69K 23,725.15
2021-02-24 Larsen Sallie R. Managing Director Sale −4,489 $134.94 $606K 16,691
2021-02-24 Kalbaugh John Andrew Managing Director Sale −4,669 $134.94 $630K 26,543
2021-02-24 Audette Matthew J Chief Financial Officer Sale −8,847 $134.94 $1.2M 13,126
2021-02-24 Arnold Dan H. President & CEO Sale −1,923 $134.33 $258K 217,491.94
2021-02-24 Arnold Dan H. President & CEO Sale −9,057 $135.60 $1.2M 208,434.94
2021-02-24 Arnold Dan H. President & CEO Sale −11,704 $136.55 $1.6M 196,730.94
2021-02-24 Arnold Dan H. President & CEO Sale −2,610 $137.20 $358K 194,120.94
2021-02-23 White George Burton Managing Director Grant or award +8,144 39,512
2021-02-23 White George Burton Managing Director Shares withheld for taxes −3,162 $135.41 $428K 36,350
2021-02-23 Seese Scott Managing Director Grant or award +11,076 34,212
2021-02-23 Seese Scott Managing Director Shares withheld for taxes −4,691 $135.41 $635K 29,521
2021-02-23 Oroschakoff Michelle Managing Director Grant or award +8,144 28,001.15
2021-02-23 Oroschakoff Michelle Managing Director Shares withheld for taxes −3,763 $135.41 $510K 24,238.15

Page 48 of 62 · 1,239 trades