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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
2019-11-25 Calder Tracy Managing Director Option exercise · Option to purchase Common Stock −13,181 5,939
2019-11-22 Calder Tracy Managing Director Gift −1,513.86 8,089
2019-11-21 Thomas Corey E. Director Grant or award +5 3,168
2019-11-21 Thomas Corey E. Director Grant or award +2 3,170
2019-11-21 SCHIFTER RICHARD P Director Grant or award +5 44,685.83
2019-11-21 SCHIFTER RICHARD P Director Grant or award +40 44,725.83
2019-11-21 RIEPE JAMES S Director Grant or award +5 95,179
2019-11-21 RIEPE JAMES S Director Grant or award +26 95,205
2019-11-21 Putnam James S Director Grant or award +29 127,063.5
2019-11-21 Glavin William Francis Jr Director Grant or award +5 12,322
2019-11-21 Glavin William Francis Jr Director Grant or award +25 12,347
2019-11-21 EBERHART PAULETT Director Grant or award +6 15,854
2019-11-13 Oroschakoff Michelle Managing Director Option exercise +5,000 $48.09 $240K 14,563.15
2019-11-13 Oroschakoff Michelle Managing Director Sale −5,000 $85.95 $430K 9,563.15
2019-11-13 Oroschakoff Michelle Managing Director Option exercise · Option to purchase Common Stock −5,000 17,913
2019-11-06 White George Burton Managing Director Option exercise +12,000 $23.41 $281K 40,809
2019-11-06 White George Burton Managing Director Option exercise +39,140 $34.61 $1.4M 79,949
2019-11-06 White George Burton Managing Director Sale −38,066 $86.25 $3.3M 41,883
2019-11-06 White George Burton Managing Director Sale −13,074 $86.59 $1.1M 28,809
2019-11-06 White George Burton Managing Director Option exercise · Option to purchase Common Stock −12,000 0

Page 60 of 62 · 1,239 trades