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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
2019-02-25 Calder Tracy Managing Director Shares withheld for taxes −422 $77.53 $33K 19,643
2019-02-25 Calder Tracy Managing Director Grant or award +1,566 21,209
2019-02-25 Calder Tracy Managing Director Grant or award · Option to purchase Common Stock +4,700 4,700
2019-02-25 Audette Matthew J Chief Financial Officer Shares withheld for taxes −2,405 $77.53 $186K 29,953
2019-02-25 Audette Matthew J Chief Financial Officer Grant or award +4,299 34,252
2019-02-25 Audette Matthew J Chief Financial Officer Grant or award · Option to purchase Common Stock +12,903 12,903
2019-02-25 Arnold Dan H. President & CEO Grant or award · Option to purchase Common Stock +68,820 68,820
2019-02-23 White George Burton Managing Director Shares withheld for taxes −472 $77.04 $36K 29,217
2019-02-23 Seese Scott Managing Director Shares withheld for taxes −466 $77.04 $36K 20,702
2019-02-23 Larsen Sallie R. Managing Director Shares withheld for taxes −255 $77.04 $20K 17,577
2019-02-23 Kalbaugh John Andrew Managing Director Shares withheld for taxes −415 $77.04 $32K 22,276
2019-02-23 Gooley Thomas Managing Director Shares withheld for taxes −566 $77.04 $44K 20,726
2019-02-23 Calder Tracy Managing Director Shares withheld for taxes −191 $77.04 $15K 20,065
2019-02-23 Audette Matthew J Chief Financial Officer Shares withheld for taxes −616 $77.04 $47K 32,358
2019-02-11 Kalbaugh John Andrew Managing Director Option exercise +40,000 $22.08 $883K 62,691
2019-02-11 Kalbaugh John Andrew Managing Director Sale −40,000 $76.94 $3.1M 22,691
2019-02-11 Kalbaugh John Andrew Managing Director Option exercise · Option to purchase Common Stock −40,000 0
2019-02-04 Gooley Thomas Managing Director Option exercise +20,576 $43.74 $900K 41,868
2019-02-04 Gooley Thomas Managing Director Option exercise +15,938 $24.38 $389K 57,806
2019-02-04 Gooley Thomas Managing Director Option exercise +6,926 $39.48 $273K 64,732

Page 67 of 73 · 1,448 trades