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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
2018-12-12 Gooley Thomas Managing Director Option exercise +29,876 $19.85 $593K 51,168
2018-12-12 Gooley Thomas Managing Director Sale −29,876 $60.72 $1.8M 21,292
2018-12-12 Gooley Thomas Managing Director Option exercise · Option to purchase Common Stock −29,876 14,938
2018-11-27 Oroschakoff Michelle Managing Director Option exercise +6,000 $36.88 $221K 19,811.15
2018-11-27 Oroschakoff Michelle Managing Director Sale −6,000 $63.00 $378K 13,811.15
2018-11-27 Oroschakoff Michelle Managing Director Option exercise · Option to purchase Common Stock −6,000 16,734
2018-11-26 SCHIFTER RICHARD P Director Grant or award +9 41,335.83
2018-11-26 SCHIFTER RICHARD P Director Grant or award +45 41,380.83
2018-11-26 RIEPE JAMES S Director Grant or award +9 82,916
2018-11-26 RIEPE JAMES S Director Grant or award +26 82,942
2018-11-26 Putnam James S Director Grant or award +40 124,857.5
2018-11-26 Glavin William Francis Jr Director Grant or award +9 9,045
2018-11-26 Glavin William Francis Jr Director Grant or award +24 9,069
2018-11-26 EBERHART PAULETT Director Grant or award +9 13,751
2018-11-13 Arnold Dan H. President & CEO Gift −4,000 232,986.94
2018-11-08 White George Burton Managing Director Option exercise +26,108 $22.08 $576K 50,582
2018-11-08 White George Burton Managing Director Sale −23,893 $66.00 $1.6M 26,689
2018-11-08 White George Burton Managing Director Option exercise · Option to purchase Common Stock −26,108 23,892
2018-10-30 Audette Matthew J Chief Financial Officer Shares withheld for taxes −2,909 $58.64 $171K 32,974
2018-09-28 Larsen Sallie R. Managing Director Sale −250 $64.40 $16K 17,832

Page 69 of 73 · 1,448 trades