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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
2018-09-07 Steinmeier Richard Managing Director Grant or award +30,143 30,143
2018-08-27 Oroschakoff Michelle Managing Director Option exercise +6,000 $36.88 $221K 19,811.15
2018-08-27 Oroschakoff Michelle Managing Director Sale −6,000 $67.11 $403K 13,811.15
2018-08-27 Oroschakoff Michelle Managing Director Option exercise · Option to purchase Common Stock −6,000 22,734
2018-08-23 SCHIFTER RICHARD P Director Grant or award +9 41,284.83
2018-08-23 SCHIFTER RICHARD P Director Grant or award +42 41,326.83
2018-08-23 RIEPE JAMES S Director Grant or award +9 82,884
2018-08-23 RIEPE JAMES S Director Grant or award +23 82,907
2018-08-23 Putnam James S Director Grant or award +38 124,817.5
2018-08-23 Glavin William Francis Jr Director Grant or award +9 9,013
2018-08-23 Glavin William Francis Jr Director Grant or award +23 9,036
2018-08-23 EBERHART PAULETT Director Grant or award +9 13,742
2018-08-23 DINH VIET D Director Grant or award +9 17,322
2018-08-23 DINH VIET D Director Grant or award +42 17,364
2018-08-21 Seese Scott Managing Director Shares withheld for taxes −5,133 $66.38 $341K 21,168
2018-08-06 Gooley Thomas Managing Director Shares withheld for taxes −1,134 $67.22 $76K 21,292
2018-08-01 Arnold Dan H. President & CEO Option exercise +10,000 $22.08 $221K 239,760.94
2018-08-01 Arnold Dan H. President & CEO Sale −6,000 $66.90 $401K 233,760.94
2018-08-01 Arnold Dan H. President & CEO Option exercise +3,226 $34.61 $112K 236,986.94
2018-08-01 Arnold Dan H. President & CEO Option exercise · Option to purchase Common Stock −10,000 0

Page 70 of 73 · 1,448 trades