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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
2020-06-12 EBERHART PAULETT Director Grant or award +7 20,095
2020-06-12 BERNARD EDWARD C Director Grant or award +8 9,223
2020-06-12 BERNARD EDWARD C Director Grant or award +4 9,227
2020-06-09 Steinmeier Richard Managing Director Sale −5,418 $86.02 $466K 28,373
2020-06-09 Kalbaugh John Andrew Managing Director Option exercise +21,135 $31.60 $668K 57,175
2020-06-09 Kalbaugh John Andrew Managing Director Option exercise +17,076 $24.38 $416K 74,251
2020-06-09 Kalbaugh John Andrew Managing Director Sale −38,211 $85.13 $3.3M 36,040
2020-06-09 Kalbaugh John Andrew Managing Director Option exercise · Option to purchase Common Stock −21,135 0
2020-06-09 Kalbaugh John Andrew Managing Director Option exercise · Option to purchase Common Stock −17,076 0
2020-06-09 Arnold Dan H. President & CEO Option exercise +20,000 $19.85 $397K 232,158.94
2020-06-09 Arnold Dan H. President & CEO Sale −14,901 $85.56 $1.3M 217,257.94
2020-06-09 Arnold Dan H. President & CEO Sale −5,099 $86.10 $439K 212,158.94
2020-06-09 Arnold Dan H. President & CEO Option exercise · Option to purchase Common Stock −20,000 78,031
2020-06-05 Arnold Dan H. President & CEO Sale −19,487 $81.98 $1.6M 227,671.94
2020-06-05 Arnold Dan H. President & CEO Sale −11,647 $82.62 $962K 216,024.94
2020-06-05 Arnold Dan H. President & CEO Sale −2,720 $83.48 $227K 213,304.94
2020-06-05 Arnold Dan H. President & CEO Sale −1,146 $84.62 $97K 212,158.94
2020-05-07 Thomas Corey E. Director Grant or award +2,780 5,963
2020-05-07 Thomas Corey E. Director Grant or award +1,435 7,398
2020-05-07 SCHIFTER RICHARD P Director Grant or award +2,780 47,582.83

Page 55 of 62 · 1,239 trades