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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
2019-03-29 EBERHART PAULETT Director Grant or award +8 13,759
2019-03-14 Oroschakoff Michelle Managing Director Sale −1,214 $73.81 $90K 9,563.15
2019-03-14 Gooley Thomas Managing Director Option exercise +14,938 $19.85 $297K 32,231
2019-03-14 Gooley Thomas Managing Director Option exercise +6,926 $39.48 $273K 39,157
2019-03-14 Gooley Thomas Managing Director Option exercise +3,528 $65.50 $231K 42,685
2019-03-14 Gooley Thomas Managing Director Sale −25,392 $74.06 $1.9M 17,293
2019-03-14 Gooley Thomas Managing Director Option exercise · Option to purchase Common Stock −14,938 0
2019-03-14 Gooley Thomas Managing Director Option exercise · Option to purchase Common Stock −6,926 6,926
2019-03-14 Gooley Thomas Managing Director Option exercise · Option to purchase Common Stock −3,528 7,054
2019-03-13 White George Burton Managing Director Shares withheld for taxes −704 $74.22 $52K 28,809
2019-03-13 Larsen Sallie R. Managing Director Shares withheld for taxes −307 $74.22 $23K 17,785
2019-03-13 Kalbaugh John Andrew Managing Director Shares withheld for taxes −616 $74.22 $46K 21,523
2019-03-13 Gooley Thomas Managing Director Shares withheld for taxes −982 $74.22 $73K 17,293
2019-03-13 Calder Tracy Managing Director Shares withheld for taxes −373 $74.22 $28K 10,089
2019-03-13 Audette Matthew J Chief Financial Officer Shares withheld for taxes −1,309 $74.22 $97K 32,943
2019-02-28 SEMERJIAN DAYTON Managing Director Grant or award +10,772 10,772
2019-02-26 Oroschakoff Michelle Managing Director Option exercise +6,000 $36.88 $221K 22,370.15
2019-02-26 Oroschakoff Michelle Managing Director Sale −11,593 $77.11 $894K 10,777.15
2019-02-26 Oroschakoff Michelle Managing Director Option exercise · Option to purchase Common Stock −6,000 10,734
2019-02-26 Calder Tracy Managing Director Sale −10,747 $77.34 $831K 10,462

Page 65 of 73 · 1,448 trades