LPL Financial Holdings Inc. — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| Arnold Dan H. | President & CEO | Sale | 700 | $155.81 | $109,067 | 205,522 | May 10, 2021 |
| Audette Matthew J | Chief Financial Officer | Sale | 56 | $157.61 | $8,826 | 12,393 | May 10, 2021 |
| Thomas Corey E. | — | Award / Grant | 1,051 | — | — | 8,518 | May 6, 2021 |
| SCHIFTER RICHARD P | — | Award / Grant | 1,051 | — | — | 50,285 | May 6, 2021 |
| BERNARD EDWARD C | — | Award / Grant | 1,051 | — | — | 10,306 | May 6, 2021 |
| Mnookin Allison | — | Award / Grant | 1,051 | — | — | 8,063 | May 6, 2021 |
| Putnam James S | — | Award / Grant | 1,051 | — | — | 132,488 | May 6, 2021 |
| MULCAHY ANNE M | — | Award / Grant | 1,051 | — | — | 31,213 | May 6, 2021 |
| Glavin William Francis Jr | — | Award / Grant | 1,051 | — | — | 17,826 | May 6, 2021 |
| EBERHART PAULETT | — | Award / Grant | 1,051 | — | — | 21,183 | May 6, 2021 |
| Mnookin Allison | — | Award / Grant | 4 | — | — | 7,012 | Mar 30, 2021 |
| Putnam James S | — | Award / Grant | 17 | — | — | 131,437 | Mar 30, 2021 |
| Glavin William Francis Jr | — | Award / Grant | 20 | — | — | 16,775 | Mar 30, 2021 |
| Thomas Corey E. | — | Award / Grant | 6 | — | — | 7,467 | Mar 30, 2021 |
| SCHIFTER RICHARD P | — | Award / Grant | 29 | — | — | 49,234 | Mar 30, 2021 |
| EBERHART PAULETT | — | Award / Grant | 4 | — | — | 20,132 | Mar 30, 2021 |
| BERNARD EDWARD C | — | Award / Grant | 4 | — | — | 9,253 | Mar 30, 2021 |
| Steinmeier Richard | Managing Director | Sale | 1,406 | $136.67 | $192,158 | 22,902 | Mar 8, 2021 |
| Audette Matthew J | Chief Financial Officer | Sale | 846 | $131.97 | $111,647 | 12,514 | Feb 26, 2021 |
| Enyedi Matthew | Managing Director | Sale | 476 | $136.41 | $64,931 | 5,210 | Feb 25, 2021 |
| Fandrey Edward | Managing Director | Award / Grant | 3,603 | — | — | 3,603 | Feb 25, 2021 |
| Kalbaugh John Andrew | Managing Director | Award / Grant | 4,914 | — | — | 28,449 | Feb 25, 2021 |
| Larsen Sallie R. | Managing Director | Tax Withholding | 591 | $132.10 | $78,071 | 16,100 | Feb 25, 2021 |
| Oroschakoff Michelle | Managing Director | Award / Grant | 2,539 | — | — | 25,335 | Feb 25, 2021 |
| Seese Scott | Managing Director | Sale | 907 | $130.23 | $118,119 | 25,594 | Feb 25, 2021 |
| SEMERJIAN DAYTON | Managing Director | Tax Withholding | 1,863 | $131.54 | $245,059 | 13,108 | Feb 25, 2021 |
| Simonich Brent | EVP, CAO and Treasurer | Award / Grant | 2,027 | — | — | 3,936 | Feb 25, 2021 |
| Steinmeier Richard | Managing Director | Award / Grant | 4,259 | — | — | 24,308 | Feb 25, 2021 |
| White George Burton | Managing Director | Award / Grant | 2,457 | — | — | 37,892 | Feb 25, 2021 |
| Arnold Dan H. | President & CEO | Award / Grant | 14,743 | — | — | 206,573 | Feb 25, 2021 |
| Audette Matthew J | Chief Financial Officer | Tax Withholding | 6,544 | $135.41 | $886,123 | 21,973 | Feb 24, 2021 |
| Kalbaugh John Andrew | Managing Director | Tax Withholding | 3,810 | $135.41 | $515,912 | 31,212 | Feb 24, 2021 |
| Oroschakoff Michelle | Managing Director | Award / Grant | 8,144 | — | — | 28,001 | Feb 24, 2021 |
| Arnold Dan H. | President & CEO | Sale | 1,923 | $134.33 | $258,317 | 217,492 | Feb 23, 2021 |
| Enyedi Matthew | Managing Director | Tax Withholding | 134 | $135.41 | $18,145 | 4,109 | Feb 23, 2021 |
| Larsen Sallie R. | Managing Director | Sale | 4,489 | $134.94 | $605,746 | 16,691 | Feb 23, 2021 |
| Seese Scott | Managing Director | Award / Grant | 11,076 | — | — | 34,212 | Feb 23, 2021 |
| White George Burton | Managing Director | Award / Grant | 8,144 | — | — | 39,512 | Feb 23, 2021 |
| Simonich Brent | EVP, CAO and Treasurer | Purchase | 1,909 | $131.00 | $250,079 | 1,909 | Feb 16, 2021 |
| Arnold Dan H. | President & CEO | Sale | 7,974 | $130.86 | $1,043,478 | 194,121 | Feb 13, 2021 |
| Oroschakoff Michelle | Managing Director | Sale | 4,000 | $128.16 | $512,640 | 19,857 | Feb 12, 2021 |
| Kalbaugh John Andrew | Managing Director | Sale | 8,184 | $128.31 | $1,050,089 | 27,484 | Feb 10, 2021 |
| Enyedi Matthew | Managing Director | Sale | 1,473 | $124.89 | $183,963 | 4,243 | Feb 9, 2021 |
| Arnold Dan H. | President & CEO | Gift | 5,102 | — | — | 207,057 | Dec 11, 2020 |
| White George Burton | Managing Director | Option Exercise | 860 | $34.61 | $29,765 | 31,368 | Dec 3, 2020 |
| Thomas Corey E. | — | Award / Grant | 7 | — | — | 7,447 | Nov 30, 2020 |
| SCHIFTER RICHARD P | — | Award / Grant | 7 | — | — | 49,152 | Nov 30, 2020 |
| Putnam James S | — | Award / Grant | 29 | — | — | 131,420 | Nov 30, 2020 |
| Mnookin Allison | — | Award / Grant | 7 | — | — | 7,008 | Nov 30, 2020 |
| Glavin William Francis Jr | — | Award / Grant | 7 | — | — | 16,717 | Nov 30, 2020 |