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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
2020-05-07 SCHIFTER RICHARD P Director Grant or award +1,435 49,017.83
2020-05-07 Putnam James S Director Grant or award +2,780 129,891.5
2020-05-07 Putnam James S Director Grant or award +1,435 131,326.5
2020-05-07 MULCAHY ANNE M Director Grant or award +2,780 28,727
2020-05-07 MULCAHY ANNE M Director Grant or award +1,435 30,162
2020-05-07 Mnookin Allison Director Grant or award +2,780 6,985
2020-05-07 Glavin William Francis Jr Director Grant or award +2,780 15,180
2020-05-07 Glavin William Francis Jr Director Grant or award +1,435 16,615
2020-05-07 EBERHART PAULETT Director Grant or award +2,780 18,645
2020-05-07 EBERHART PAULETT Director Grant or award +1,435 20,080
2020-05-07 BERNARD EDWARD C Director Grant or award +2,780 7,780
2020-05-07 BERNARD EDWARD C Director Grant or award +1,435 9,215
2020-03-31 Thomas Corey E. Director Grant or award +9 3,179
2020-03-31 Thomas Corey E. Director Grant or award +4 3,183
2020-03-31 SCHIFTER RICHARD P Director Grant or award +9 44,734.83
2020-03-31 SCHIFTER RICHARD P Director Grant or award +68 44,802.83
2020-03-31 RIEPE JAMES S Director Grant or award +9 95,214
2020-03-31 RIEPE JAMES S Director Grant or award +44 95,258
2020-03-31 Putnam James S Director Grant or award +48 127,111.5
2020-03-31 Glavin William Francis Jr Director Grant or award +9 12,356

Page 56 of 62 · 1,239 trades