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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
2020-08-12 Kalbaugh John Andrew Managing Director Sale −21,099 $84.57 $1.8M 36,040
2020-08-12 Kalbaugh John Andrew Managing Director Option exercise · Option to purchase Common Stock −7,317 0
2020-08-12 Kalbaugh John Andrew Managing Director Option exercise · Option to purchase Common Stock −10,790 0
2020-08-12 Kalbaugh John Andrew Managing Director Option exercise · Option to purchase Common Stock −17,984 0
2020-08-12 Kalbaugh John Andrew Managing Director Option exercise · Option to purchase Common Stock −14,676 0
2020-08-11 Arnold Dan H. President & CEO Option exercise +12,753 $45.55 $581K 224,911.94
2020-08-11 Arnold Dan H. President & CEO Option exercise +1,999 $54.81 $110K 226,910.94
2020-08-11 Arnold Dan H. President & CEO Sale −14,752 $85.29 $1.3M 212,158.94
2020-08-11 Arnold Dan H. President & CEO Option exercise · Option to purchase Common Stock −12,753 12,609
2020-08-11 Arnold Dan H. President & CEO Option exercise · Option to purchase Common Stock −1,999 18,233
2020-08-07 Audette Matthew J Chief Financial Officer Gift −2,000 27,335
2020-06-12 Thomas Corey E. Director Grant or award +8 7,406
2020-06-12 Thomas Corey E. Director Grant or award +13 7,419
2020-06-12 SCHIFTER RICHARD P Director Grant or award +8 49,025.83
2020-06-12 SCHIFTER RICHARD P Director Grant or award +56 49,081.83
2020-06-12 Putnam James S Director Grant or award +32 131,358.5
2020-06-12 Mnookin Allison Director Grant or award +8 6,993
2020-06-12 Glavin William Francis Jr Director Grant or award +8 16,623
2020-06-12 Glavin William Francis Jr Director Grant or award +40 16,663
2020-06-12 EBERHART PAULETT Director Grant or award +8 20,088

Page 54 of 62 · 1,239 trades