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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
2020-11-30 EBERHART PAULETT Director Grant or award +7 20,124
2020-11-30 BERNARD EDWARD C Director Grant or award +7 9,246
2020-11-30 BERNARD EDWARD C Director Grant or award +3 9,249
2020-11-24 Larsen Sallie R. Managing Director Option exercise +5,225 $31.61 $165K 22,680
2020-11-24 Larsen Sallie R. Managing Director Sale −5,225 $95.00 $496K 17,455
2020-11-24 Larsen Sallie R. Managing Director Option exercise · Option to purchase Common Stock −5,225 15,815
2020-11-16 Larsen Sallie R. Managing Director Sale −6,300 $91.22 $575K 17,455
2020-11-12 Oroschakoff Michelle Managing Director Option exercise +4,000 $54.81 $219K 23,857.15
2020-11-12 Oroschakoff Michelle Managing Director Sale −4,000 $86.79 $347K 19,857.15
2020-11-12 Oroschakoff Michelle Managing Director Option exercise · Option to purchase Common Stock −4,000 3,802
2020-11-09 Steinmeier Richard Managing Director Sale −3,984 $86.00 $343K 20,837
2020-11-09 Audette Matthew J Chief Financial Officer Sale −100 $84.07 $8K 27,235
2020-11-09 Audette Matthew J Chief Financial Officer Sale −1,400 $85.93 $120K 25,835
2020-11-09 Audette Matthew J Chief Financial Officer Sale −4,600 $86.90 $400K 21,235
2020-11-09 Audette Matthew J Chief Financial Officer Sale −3,900 $87.80 $342K 17,335
2020-11-09 Audette Matthew J Chief Financial Officer Sale −2,300 $88.92 $205K 15,035
2020-11-09 Audette Matthew J Chief Financial Officer Sale −200 $89.48 $18K 14,835
2020-11-09 Arnold Dan H. President & CEO Option exercise +10,653 $45.55 $485K 222,811.94
2020-11-09 Arnold Dan H. President & CEO Option exercise +2,239 $54.81 $123K 225,050.94
2020-11-09 Arnold Dan H. President & CEO Sale −12,892 $85.00 $1.1M 212,158.94

Page 51 of 62 · 1,239 trades