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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
2019-08-23 Thomas Corey E. Director Grant or award +3 3,163
2019-08-23 SCHIFTER RICHARD P Director Grant or award +7 44,630.83
2019-08-23 SCHIFTER RICHARD P Director Grant or award +50 44,680.83
2019-08-23 RIEPE JAMES S Director Grant or award +7 95,141
2019-08-23 RIEPE JAMES S Director Grant or award +33 95,174
2019-08-23 Putnam James S Director Grant or award +35 127,034.5
2019-08-23 Glavin William Francis Jr Director Grant or award +7 12,285
2019-08-23 Glavin William Francis Jr Director Grant or award +32 12,317
2019-08-23 EBERHART PAULETT Director Grant or award +8 15,848
2019-08-22 Arnold Dan H. President & CEO Option exercise +19,747 $32.26 $637K 248,592.94
2019-08-22 Arnold Dan H. President & CEO Sale −19,347 $75.26 $1.5M 229,245.94
2019-08-22 Arnold Dan H. President & CEO Sale −400 $76.64 $31K 228,845.94
2019-08-22 Arnold Dan H. President & CEO Option exercise · Option to purchase Common Stock −19,747 0
2019-08-21 Seese Scott Managing Director Shares withheld for taxes −5,133 $73.79 $379K 19,663
2019-08-13 Oroschakoff Michelle Managing Director Option exercise +4,734 $36.88 $175K 14,297.15
2019-08-13 Oroschakoff Michelle Managing Director Option exercise +266 $48.09 $13K 14,563.15
2019-08-13 Oroschakoff Michelle Managing Director Sale −5,000 $71.67 $358K 9,563.15
2019-08-13 Oroschakoff Michelle Managing Director Option exercise · Option to purchase Common Stock −4,734 0
2019-08-13 Oroschakoff Michelle Managing Director Option exercise · Option to purchase Common Stock −266 22,913

Page 62 of 62 · 1,239 trades