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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
2020-11-09 Arnold Dan H. President & CEO Option exercise · Option to purchase Common Stock −10,653 0
2020-11-09 Arnold Dan H. President & CEO Option exercise · Option to purchase Common Stock −2,239 15,594
2020-09-07 Steinmeier Richard Managing Director Shares withheld for taxes −3,552 $83.76 $298K 24,821
2020-09-04 Arnold Dan H. President & CEO Option exercise +800 $45.55 $36K 212,958.94
2020-09-04 Arnold Dan H. President & CEO Option exercise +200 $54.81 $11K 213,158.94
2020-09-04 Arnold Dan H. President & CEO Sale −1,000 $85.44 $85K 212,158.94
2020-09-04 Arnold Dan H. President & CEO Option exercise · Option to purchase Common Stock −800 10,653
2020-09-04 Arnold Dan H. President & CEO Option exercise · Option to purchase Common Stock −200 17,833
2020-09-03 Arnold Dan H. President & CEO Option exercise +756 $45.55 $34K 212,914.94
2020-09-03 Arnold Dan H. President & CEO Option exercise +200 $54.81 $11K 213,114.94
2020-09-03 Arnold Dan H. President & CEO Sale −956 $85.41 $82K 212,158.94
2020-09-03 Arnold Dan H. President & CEO Option exercise · Option to purchase Common Stock −756 11,453
2020-09-03 Arnold Dan H. President & CEO Option exercise · Option to purchase Common Stock −200 18,033
2020-08-28 Thomas Corey E. Director Grant or award +8 7,427
2020-08-28 Thomas Corey E. Director Grant or award +13 7,440
2020-08-28 SCHIFTER RICHARD P Director Grant or award +8 49,089.83
2020-08-28 SCHIFTER RICHARD P Director Grant or award +55 49,144.83
2020-08-28 Putnam James S Director Grant or award +32 131,390.5
2020-08-28 Mnookin Allison Director Grant or award +8 7,001
2020-08-28 Glavin William Francis Jr Director Grant or award +8 16,671

Page 52 of 62 · 1,239 trades