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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
2021-02-23 Larsen Sallie R. Managing Director Grant or award +6,124 23,579
2021-02-23 Larsen Sallie R. Managing Director Shares withheld for taxes −2,399 $135.41 $325K 21,180
2021-02-23 Kalbaugh John Andrew Managing Director Option exercise +8,745 $65.50 $573K 36,229
2021-02-23 Kalbaugh John Andrew Managing Director Sale −8,745 $132.64 $1.2M 27,484
2021-02-23 Kalbaugh John Andrew Managing Director Grant or award +7,538 35,022
2021-02-23 Kalbaugh John Andrew Managing Director Shares withheld for taxes −3,810 $135.41 $516K 31,212
2021-02-23 Kalbaugh John Andrew Managing Director Option exercise · Option to purchase Common Stock −8,745 0
2021-02-23 Enyedi Matthew Managing Director Shares withheld for taxes −134 $135.41 $18K 4,109
2021-02-23 Audette Matthew J Chief Financial Officer Grant or award +13,682 28,517
2021-02-23 Audette Matthew J Chief Financial Officer Shares withheld for taxes −6,544 $135.41 $886K 21,973
2021-02-23 Arnold Dan H. President & CEO Grant or award +50,170 244,290.94
2021-02-23 Arnold Dan H. President & CEO Shares withheld for taxes −24,876 $135.41 $3.4M 219,414.94
2021-02-16 Simonich Brent EVP, CAO and Treasurer Purchase +1,909 $131.00 $250K 1,909
2021-02-16 Arnold Dan H. President & CEO Sale −7,974 $130.86 $1.0M 194,120.94
2021-02-13 Arnold Dan H. President & CEO Shares withheld for taxes −4,962 $130.24 $646K 202,094.94
2021-02-12 Oroschakoff Michelle Managing Director Option exercise +3,802 $54.81 $208K 23,659.15
2021-02-12 Oroschakoff Michelle Managing Director Option exercise +198 $48.09 $10K 23,857.15
2021-02-12 Oroschakoff Michelle Managing Director Sale −4,000 $128.16 $513K 19,857.15
2021-02-12 Oroschakoff Michelle Managing Director Option exercise · Option to purchase Common Stock −3,802 0
2021-02-12 Oroschakoff Michelle Managing Director Option exercise · Option to purchase Common Stock −198 12,715

Page 49 of 62 · 1,239 trades