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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
2019-11-06 White George Burton Managing Director Option exercise · Option to purchase Common Stock −39,140 860
2019-11-05 Arnold Dan H. President & CEO Gift −24,183 203,600.94
2019-09-11 Kalbaugh John Andrew Managing Director Option exercise +2,889 $34.61 $100K 23,696
2019-09-11 Kalbaugh John Andrew Managing Director Option exercise +6,198 $32.26 $200K 29,894
2019-09-11 Kalbaugh John Andrew Managing Director Option exercise · Option to purchase Common Stock −2,889 0
2019-09-11 Kalbaugh John Andrew Managing Director Option exercise · Option to purchase Common Stock −6,198 7,317
2019-09-10 Kalbaugh John Andrew Managing Director Option exercise +3,289 $19.85 $65K 24,096
2019-09-10 Kalbaugh John Andrew Managing Director Option exercise +12,120 $32.26 $391K 36,216
2019-09-10 Kalbaugh John Andrew Managing Director Option exercise +16,711 $34.61 $578K 52,927
2019-09-10 Kalbaugh John Andrew Managing Director Sale −31,840 $80.27 $2.6M 21,087
2019-09-10 Kalbaugh John Andrew Managing Director Sale −280 $81.07 $23K 20,807
2019-09-10 Kalbaugh John Andrew Managing Director Option exercise · Option to purchase Common Stock −3,289 64,380
2019-09-10 Kalbaugh John Andrew Managing Director Option exercise · Option to purchase Common Stock −12,120 13,515
2019-09-10 Kalbaugh John Andrew Managing Director Option exercise · Option to purchase Common Stock −16,711 2,889
2019-09-10 Arnold Dan H. President & CEO Gift −1,062 227,783.94
2019-09-10 Arnold Dan H. President & CEO Option exercise +48,159 $31.60 $1.5M 275,942.94
2019-09-10 Arnold Dan H. President & CEO Sale −48,159 $80.00 $3.9M 227,783.94
2019-09-10 Arnold Dan H. President & CEO Option exercise · Option to purchase Common Stock −48,159 0
2019-09-07 Steinmeier Richard Managing Director Shares withheld for taxes −2,606 $76.90 $200K 29,987
2019-08-23 Thomas Corey E. Director Grant or award +7 3,160

Page 61 of 62 · 1,239 trades