Company · CIK 0001397911 · SIC 6200 — Security & Commodity Brokers, Dealers, Exchanges & Services · Nasdaq
LPL Financial Holdings Inc. · LPLA
Insider activity reported against this company. All insider holders · On EDGAR ↗
Reported at this company — common stock
| Trade | Reported (ET) | Insider | Shares | Avg price | Total | Owned after | Δ stake | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 25, 2017 FForm 4 → | Feb 28, 8:10 pm EST | Matthew J AudetteChief Financial Officer | 1,479 | $39.13 | $57,873 | 28,561 | — | plan? |
| Feb 24, 2017 FForm 4 → | Feb 28, 8:59 pm EST | George Burton WhiteManaging Director | 1,210 | $39.13 | $47,347 | 19,884 | — | plan? |
| Feb 24, 2017 FForm 4 → | Feb 28, 8:50 pm EST | Michelle OroschakoffManaging Director | 887 | $39.13 | $34,708 | 15,829 | — | plan? |
| Feb 24, 2017 FForm 4 → | Feb 28, 8:45 pm EST | William P. Morrissey Jr.Managing Director | 1,062 | $39.13 | $41,556 | 14,325 | — | plan? |
| Feb 24, 2017 FForm 4 → | Feb 28, 8:41 pm EST | Sallie R. LarsenManaging Director | 818 | $39.13 | $32,008 | 14,606 | — | plan? |
| Feb 24, 2017 FForm 4 → | Feb 28, 8:36 pm EST | John Andrew KalbaughManaging Director | 1,182 | $39.13 | $46,252 | 24,711 | — | plan? |
| Feb 24, 2017 FForm 4 → | Feb 28, 8:26 pm EST | Victor FetterManaging Director | 1,922 | $39.13 | $75,208 | 23,630 | — | plan? |
| Feb 24, 2017 FForm 4 → | Feb 28, 8:16 pm EST | David P. BergersManaging Director | 756 | $39.13 | $29,582 | 40,131 | — | plan? |
| Feb 23, 2017 SForm 4 → | Feb 23, 9:48 pm EST | John Andrew KalbaughMD, Divisional President NSC | 30,000 | $39.73 | $1,191,900 | 25,893 | −53.7% | plan? |
| Feb 22, 2017 SForm 4 → | Feb 23, 9:54 pm EST | George Burton WhiteMD, Investor & Invstmt Solutns | 25,000 | $40.14 | $1,003,470 | 21,445 | −53.8% | plan? |
| Feb 22, 2017 FMForm 4 → | Feb 23, 9:54 pm EST | George Burton WhiteMD, Investor & Invstmt Solutns | 25,351 | $27.58 | $699,096 | 21,094 | — | plan? |
| Feb 22, 2017 FForm 4 → | Feb 23, 9:51 pm EST | William P. Morrissey Jr.MD, Divisional President BD | 261 | $40.16 | $10,482 | 15,387 | — | plan? |
| Feb 22, 2017 FForm 4 → | Feb 23, 9:49 pm EST | Sallie R. LarsenMD, Chief Human Cap. Officer | 364 | $40.16 | $14,618 | 15,424 | — | plan? |
| Feb 22, 2017 FMForm 4 → | Feb 23, 9:48 pm EST | John Andrew KalbaughMD, Divisional President NSC | 30,345 | $25.67 | $778,855 | 55,893 | — | plan? |
| Feb 22, 2017 SForm 4 → | Feb 23, 9:46 pm EST | Mark S CasadyDirector | 58,628 | $40.40 | $2,368,624 | 130,957 | −30.9% | plan? |
| Feb 22, 2017 MForm 4 → | Feb 23, 9:46 pm EST | Mark S CasadyDirector | 58,628 | $31.60 | $1,852,645 | 189,585 | — | plan? |
| Feb 13, 2017 SForm 4 → | Feb 15, 9:51 pm EST | Marco HellmanDirector | 900,000 | $40.00 | $36,000,000 | 1,885,143 | −32.3% | plan? |
| Feb 13, 2017 SForm 4 → | Feb 15, 9:42 pm EST | Mark S CasadyDirector | 632,324 | $40.73 | $25,756,046 | 130,957 | −82.8% | plan? |
| Feb 13, 2017 MForm 4 → | Feb 15, 9:42 pm EST | Mark S CasadyDirector | 632,324 | $30.70 | $19,413,588 | 496,170 | — | plan? |
| Feb 13, 2017 AForm 4 → | Feb 15, 9:39 pm EST | Dan H. ArnoldPresident & CEO, Director | 38,809 | — | — | 232,414 | — | plan? |
| Dec 14, 2016 AForm 4 → | Dec 16, 7:55 pm EST | Paulett EberhartDirector | 3,468 | — | — | 8,063 | — | plan? |
| Dec 14, 2016 AForm 4 → | Dec 16, 7:29 pm EST | Richard P SchifterDirector | 5,202 | — | — | 31,916 | — | plan? |
| Dec 14, 2016 AForm 4 → | Dec 16, 7:26 pm EST | James S RiepeDirector | 5,202 | — | — | 61,435 | — | plan? |
| Dec 14, 2016 AForm 4 → | Dec 16, 7:23 pm EST | James S PutnamDirector | 5,202 | — | — | 116,900 | — | plan? |
| Dec 14, 2016 AForm 4 → | Dec 16, 7:15 pm EST | Anne M MulcahyDirector | 5,202 | — | — | 15,173 | — | plan? |
| Dec 14, 2016 AForm 4 → | Dec 16, 7:01 pm EST | Marco HellmanDirector | 5,202 | — | — | 5,202 | — | plan? |
| Dec 14, 2016 AForm 4 → | Dec 16, 6:41 pm EST | John Joseph BrennanDirector | 5,202 | — | — | 45,850 | — | plan? |
| Nov 1, 2016 AGJForm 4 → | Dec 16, 6:49 pm EST | Viet D DinhDirector | 24,578 | — | — | 8,150 | — | plan? late |
| Nov 1, 2016 FForm 4 → | Nov 3, 4:33 pm EDT | Michelle OroschakoffMD, Chief Risk Officer | 152 | $31.49 | $4,786 | 16,592 | — | plan? |
| Oct 30, 2016 FForm 4 → | Nov 1, 4:32 pm EDT | Matthew J AudetteChief Financial Officer | 2,206 | $31.28 | $69,004 | 30,040 | — | plan? |
| Sep 3, 2016 FForm 4 → | Sep 7, 4:28 pm EDT | Michelle OroschakoffMD, Chief Risk Officer | 510 | $29.85 | $15,224 | 16,744 | — | plan? |
| Aug 6, 2016 FForm 4 → | Aug 9, 5:22 pm EDT | Thomas GooleyMD, Svc, Trading & Operations | 757 | $26.72 | $20,227 | 17,630 | — | plan? |
| Aug 5, 2016 FForm 4 → | Aug 9, 5:18 pm EDT | David P. BergersMD, Legal & Gov't Relations | 1,320 | $26.72 | $35,270 | 40,887 | — | plan? |
| Jun 13, 2016 AForm 4 → | Jun 15, 4:46 pm EDT | John Andrew KalbaughMD,Rel. Mgmt & Bus. Consulting | 4,880 | — | — | 26,238 | — | plan? |
| Jun 13, 2016 AForm 4 → | Jun 15, 4:43 pm EDT | Thomas GooleyMD, Svc, Trading & Operations | 2,928 | — | — | 18,387 | — | plan? |
| Jun 10, 2016 FForm 4 → | Jun 14, 5:17 pm EDT | George Burton WhiteMD, Research | 230 | $24.75 | $5,693 | 21,445 | — | plan? |
| Mar 8, 2016 SForm 4 → | Mar 8, 6:23 pm EST | Dan H. ArnoldPresident | 1,208 | $21.27 | $25,694 | 193,605 | −0.62% | plan? |
| Mar 6, 2016 FForm 4 → | Mar 8, 7:37 pm EST | George Burton WhiteMD, Research | 433 | $21.44 | $9,284 | 21,675 | — | plan? |
| Mar 6, 2016 FForm 4 → | Mar 8, 7:31 pm EST | Ryan ParkerMD, Invstmt & Planning Solutns | 248 | $21.44 | $5,317 | 11,864 | — | plan? |
| Mar 6, 2016 FForm 4 → | Mar 8, 7:25 pm EST | Michelle OroschakoffMD, Chief Risk Officer | 289 | $21.44 | $6,196 | 17,254 | — | plan? |
| Mar 6, 2016 FForm 4 → | Mar 8, 7:20 pm EST | William P. Morrissey Jr.MD, Business Development | 252 | $21.44 | $5,403 | 15,648 | — | plan? |
| Mar 6, 2016 FForm 4 → | Mar 8, 7:16 pm EST | Sallie R. LarsenMD, Chief Human Cap. Officer | 298 | $21.44 | $6,389 | 15,788 | — | plan? |
| Mar 6, 2016 FForm 4 → | Mar 8, 7:11 pm EST | John Andrew KalbaughMD,Rel. Mgmt & Bus. Consulting | 284 | $21.44 | $6,089 | 21,358 | — | plan? |
| Mar 6, 2016 FForm 4 → | Mar 8, 7:00 pm EST | Victor FetterMD, Chief Information Officer | 338 | $21.44 | $7,247 | 25,552 | — | plan? |
| Mar 6, 2016 FForm 4 → | Mar 8, 6:53 pm EST | Jeffrey R. BuchheisterEVP, Chief Accounting Officer | 163 | $21.44 | $3,495 | 7,341 | — | plan? |
| Mar 6, 2016 FForm 4 → | Mar 8, 6:31 pm EST | David P. BergersMD, Legal & Gov't Relations | 357 | $21.44 | $7,654 | 42,207 | — | plan? |
| Feb 29, 2016 PForm 4 → | Mar 2, 6:57 pm EST | Viet D DinhDirector | 4,844 | $20.42 | $98,920 | 7,731 | +168% | plan? |
| Feb 25, 2016 AForm 4 → | Feb 29, 9:14 pm EST | George Burton WhiteMD, Research | 11,072 | — | — | 22,108 | — | plan? |
| Feb 25, 2016 AForm 4 → | Feb 29, 9:10 pm EST | Ryan ParkerMD, Invstmt & Planning Solutns | 9,260 | — | — | 12,112 | — | plan? |
| Feb 25, 2016 AForm 4 → | Feb 29, 9:06 pm EST | Michelle OroschakoffMD, Chief Risk Officer | 7,503 | — | — | 17,543 | — | plan? |
| Feb 25, 2016 AForm 4 → | Feb 29, 9:02 pm EST | William P. Morrissey Jr.MD, Business Development | 9,809 | — | — | 15,900 | — | plan? |
| Feb 25, 2016 AForm 4 → | Feb 29, 8:57 pm EST | Sallie R. LarsenMD, Chief Human Cap. Officer | 7,064 | — | — | 16,086 | — | plan? |
| Feb 25, 2016 AForm 4 → | Feb 29, 8:52 pm EST | John Andrew KalbaughMD,Rel. Mgmt & Bus. Consulting | 11,401 | — | — | 21,642 | — | plan? |
| Feb 25, 2016 AForm 4 → | Feb 29, 8:47 pm EST | Thomas GooleyMD, Svc, Trading & Operations | 8,601 | — | — | 15,459 | — | plan? |
| Feb 25, 2016 AForm 4 → | Feb 29, 8:41 pm EST | Victor FetterMD, Chief Information Officer | 8,601 | — | — | 25,890 | — | plan? |
| Feb 25, 2016 AForm 4 → | Feb 29, 8:15 pm EST | Tracy CalderMD, Deputy Chief Risk Officer | 35,754 | — | — | 35,754 | — | plan? |
| Feb 25, 2016 AForm 4 → | Feb 29, 8:10 pm EST | Jeffrey R. BuchheisterEVP, Chief Accounting Officer | 2,049 | — | — | 7,404 | — | plan? |
| Feb 25, 2016 AForm 4 → | Feb 29, 8:05 pm EST | David P. BergersMD, Legal & Gov't Relations | 8,601 | — | — | 42,564 | — | plan? |
| Feb 25, 2016 AForm 4 → | Feb 29, 7:57 pm EST | Matthew J AudetteChief Financial Officer | 14,641 | — | — | 32,246 | — | plan? |
| Feb 25, 2016 AForm 4 → | Feb 29, 7:51 pm EST | Dan H. ArnoldPresident | 15,121 | — | — | 194,813 | — | plan? |
| Feb 25, 2016 SForm 4 → | Feb 29, 7:51 pm EST | Dan H. ArnoldPresident | 1,095 | $19.29 | $21,125 | 179,022 | −0.61% | plan? |
| Feb 24, 2016 FForm 4 → | Feb 26, 9:54 pm EST | George Burton WhiteMD, Research | 322 | $19.35 | $6,231 | 11,036 | — | plan? |
| Feb 24, 2016 FForm 4 → | Feb 26, 9:10 pm EST | John Andrew KalbaughMD,Rel. Mgmt & Bus. Consulting | 260 | $19.35 | $5,031 | 10,241 | — | plan? |
| Feb 24, 2016 FForm 4 → | Feb 26, 8:42 pm EST | Ryan ParkerMD, Invstmt & Planning Solutns | 181 | $19.35 | $3,502 | 2,852 | — | plan? |
| Feb 24, 2016 FForm 4 → | Feb 26, 8:18 pm EST | Michelle OroschakoffMD, Chief Risk Officer | 280 | $19.35 | $5,418 | 10,040 | — | plan? |
| Feb 24, 2016 FForm 4 → | Feb 26, 8:11 pm EST | William P. Morrissey Jr.MD, Business Development | 203 | $19.35 | $3,928 | 6,091 | — | plan? |
| Feb 24, 2016 FForm 4 → | Feb 26, 8:05 pm EST | Sallie R. LarsenMD, Chief Human Cap. Officer | 320 | $19.35 | $6,192 | 9,022 | — | plan? |
| Feb 24, 2016 FForm 4 → | Feb 26, 7:53 pm EST | Victor FetterMD, Chief Information Officer | 351 | $19.35 | $6,792 | 17,289 | — | plan? |
| Feb 24, 2016 FForm 4 → | Feb 26, 7:49 pm EST | Jeffrey R. BuchheisterEVP, Chief Accounting Officer | 75 | $19.35 | $1,451 | 5,355 | — | plan? |
| Feb 24, 2016 FForm 4 → | Feb 26, 7:41 pm EST | David P. BergersMD, Legal & Gov't Relations | 142 | $19.35 | $2,748 | 33,963 | — | plan? |
| Feb 22, 2016 FForm 4 → | Feb 24, 5:47 pm EST | George Burton WhiteMD, Research | 386 | $19.92 | $7,689 | 11,358 | — | plan? |
| Feb 22, 2016 FForm 4 → | Feb 24, 5:42 pm EST | William P. Morrissey Jr.MD, Divisional President IAS | 261 | $19.92 | $5,199 | 6,294 | — | plan? |
| Feb 22, 2016 FForm 4 → | Feb 24, 5:36 pm EST | Sallie R. LarsenMD, Chief Human Cap. Officer | 364 | $19.92 | $7,251 | 9,342 | — | plan? |
| Feb 22, 2016 FForm 4 → | Feb 24, 5:26 pm EST | John Andrew KalbaughMD,Rel. Mgmt & Bus. Consulting | 329 | $19.92 | $6,554 | 10,501 | — | plan? |
| Feb 22, 2016 FForm 4 → | Feb 24, 5:19 pm EST | Jeffrey R. BuchheisterEVP, Chief Accounting Officer | 81 | $19.92 | $1,614 | 5,430 | — | plan? |
| Feb 12, 2016 PForm 4 → | Mar 8, 6:53 pm EST | Jeffrey R. BuchheisterEVP, Chief Accounting Officer | 100 | $16.40 | $1,640 | 7,504 | +1.35% | plan? late |
| Dec 17, 2015 FForm 4 → | Dec 21, 4:35 pm EST | Victor FetterMD, Chief Information Officer | 2,219 | $42.98 | $95,373 | 17,640 | — | plan? |
| Dec 14, 2015 SForm 4 → | Dec 16, 4:21 pm EST | William P. Morrissey Jr.MD, Divisional Pres. of IAS | 25,000 | $42.85 | $1,071,250 | 6,555 | −79.2% | plan? |
| Dec 14, 2015 MForm 4 → | Dec 16, 4:21 pm EST | William P. Morrissey Jr.MD, Divisional Pres. of IAS | 25,000 | $21.60 | $540,000 | 31,555 | — | plan? |
| Dec 14, 2015 SForm 4 → | Dec 16, 4:16 pm EST | Jeffrey R. BuchheisterEVP, Chief Accounting Officer | 10,688 | $42.59 | $455,202 | 5,511 | −66.0% | plan? |
| Dec 10, 2015 SForm 4 → | Dec 14, 7:07 pm EST | TPG Group Holdings (SBS) Advisors, Inc. +2Other | 4,319,537 | $43.27 | $186,914,573 | 8,794,282 | −32.9% | plan? |
| Dec 7, 2015 GForm 4 → | Dec 21, 4:40 pm EST | Dan H. ArnoldPresident | 3,500 | — | — | 180,117 | — | plan? late |
| Nov 1, 2015 FForm 4 → | Nov 3, 4:34 pm EST | Michelle OroschakoffMD, Chief Risk Officer | 152 | $42.60 | $6,475 | 10,320 | — | plan? |
| Oct 30, 2015 AForm 4 → | Nov 3, 4:21 pm EST | Matthew J AudetteChief Financial Officer | 17,605 | — | — | 17,605 | — | plan? |
| Oct 1, 2015 AForm 4 → | Oct 2, 5:31 pm EDT | Viet D DinhDirector | 2,887 | $39.39 | $113,719 | 2,887 | — | plan? |
| Sep 3, 2015 FForm 4 → | Sep 4, 4:19 pm EDT | Michelle OroschakoffMD, Chief Risk Officer | 510 | $39.21 | $19,997 | 10,472 | — | plan? |
| Aug 6, 2015 AForm 4 → | Aug 10, 5:34 pm EDT | Thomas GooleyMD, Svc, Trading & Operations | 6,858 | — | — | 6,858 | — | plan? |
| Aug 5, 2015 FForm 4 → | Aug 7, 4:35 pm EDT | David P. BergersMD, Legal & Gov't Relations | 19,218 | $43.66 | $839,058 | 34,105 | — | plan? |
| Jun 10, 2015 SForm 4 → | Jun 12, 5:08 pm EDT | Dan H. ArnoldPresident | 4,273 | $48.00 | $205,104 | 183,617 | −2.27% | plan? |
| Jun 10, 2015 MForm 4 → | Jun 12, 5:08 pm EDT | Dan H. ArnoldPresident | 4,273 | $27.80 | $118,789 | 187,890 | — | plan? |
| Jun 10, 2015 AForm 4 → | Jun 12, 5:02 pm EDT | George Burton WhiteMD, Chief Investment Officer | 2,114 | — | — | 11,744 | — | plan? |
| Jun 2, 2015 SForm 4 → | Jun 4, 5:43 pm EDT | Sharyn HandelsmanMD, Chief Compliance Officer | 6,393 | $43.50 | $278,096 | 6,478 | −49.7% | plan? |
| Jun 2, 2015 MForm 4 → | Jun 4, 5:43 pm EDT | Sharyn HandelsmanMD, Chief Compliance Officer | 6,393 | $30.97 | $197,981 | 12,871 | — | plan? |
| May 28, 2015 MForm 4 → | Jun 1, 5:07 pm EDT | Jeffrey R. BuchheisterEVP, Chief Accounting Officer | 13,360 | $2.38 | $31,797 | 16,199 | — | plan? |
| May 28, 2015 PForm 4 → | May 28, 5:11 pm EDT | Mark S CasadyChairman & Chief Exec. Officer, Director | 21,100 | $42.48 | $896,332 | 63,871 | +49.3% | plan? |
| May 18, 2015 MForm 4 → | May 20, 6:19 pm EDT | Lux ThomasActing Chief Financial Officer | 2,000 | $22.08 | $44,160 | 10,378 | — | plan? |
| May 18, 2015 AForm 4 → | May 20, 6:14 pm EDT | Richard P SchifterDirector | 1,592 | $42.85 | $68,217 | 26,714 | — | plan? |
| May 18, 2015 AForm 4 → | May 20, 6:10 pm EDT | James S RiepeDirector | 1,592 | $42.85 | $68,217 | 56,233 | — | plan? |
| May 18, 2015 AForm 4 → | May 20, 6:06 pm EDT | James S PutnamDirector | 1,592 | $42.85 | $68,217 | 111,698 | — | plan? |
| May 18, 2015 AForm 4 → | May 20, 6:01 pm EDT | Anne M MulcahyDirector | 1,592 | $42.85 | $68,217 | 9,971 | — | plan? |
Reported at this company — derivatives (options, RSUs, warrants)
| Trade | Reported (ET) | Insider | Shares | Avg price | Total | Owned after | Δ stake | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 20, 2026 MForm 4 → | Aug 21, 4:08 pm EDT | Greg GatesGroup Managing Director | 7,189 | — | — | 0 | — | |
| Feb 25, 2019 AForm 4 → | Feb 26, 9:50 pm EST | George Burton WhiteManaging Director | 8,909 | — | — | 8,909 | — | |
| Feb 25, 2019 AForm 4 → | Feb 26, 9:48 pm EST | Richard SteinmeierManaging Director | 7,355 | — | — | 7,355 | — | |
| Feb 25, 2019 AForm 4 → | Feb 26, 9:47 pm EST | Scott SeeseManaging Director | 12,289 | — | — | 12,289 | — | |
| Feb 25, 2019 AMForm 4 → | Feb 26, 9:44 pm EST | Michelle OroschakoffManaging Director | 13,680 | — | — | 10,734 | — | |
| Feb 25, 2019 AForm 4 → | Feb 26, 9:39 pm EST | Sallie R. LarsenManaging Director | 5,837 | — | — | 5,837 | — | |
| Feb 25, 2019 AForm 4 → | Feb 26, 9:37 pm EST | John Andrew KalbaughManaging Director | 7,349 | — | — | 7,349 | — | |
| Feb 25, 2019 AForm 4 → | Feb 26, 9:31 pm EST | Tracy CalderManaging Director | 4,700 | — | — | 4,700 | — | |
| Feb 25, 2019 AForm 4 → | Feb 26, 9:25 pm EST | Matthew J AudetteChief Financial Officer | 12,903 | — | — | 12,903 | — | |
| Feb 25, 2019 AMForm 4 → | Feb 26, 9:24 pm EST | Dan H. ArnoldPresident & CEO, Director | 75,018 | — | — | 20,969 | — | |
| Feb 11, 2019 MForm 4 → | Feb 13, 6:12 pm EST | John Andrew KalbaughManaging Director | 40,000 | — | — | 0 | — | |
| Feb 4, 2019 MForm 4 → | Feb 6, 5:53 pm EST | Thomas GooleyManaging Director | 43,440 | — | — | 13,852 | — | |
| Jan 16, 2019 MForm 4 → | Jan 18, 6:05 pm EST | Dan H. ArnoldPresident & CEO, Director | 36,774 | — | — | 0 | — | |
| Jan 10, 2019 MForm 4 → | Jan 11, 8:23 pm EST | George Burton WhiteManaging Director | 26,892 | — | — | 12,000 | — | |
| Dec 12, 2018 MForm 4 → | Dec 14, 8:07 pm EST | James S RiepeDirector | 13,500 | — | — | 0 | — | |
| Dec 12, 2018 MForm 4 → | Dec 14, 8:00 pm EST | Thomas GooleyManaging Director | 29,876 | — | — | 14,938 | — | |
| Nov 27, 2018 MForm 4 → | Nov 28, 8:35 pm EST | Michelle OroschakoffManaging Director | 6,000 | — | — | 16,734 | — | |
| Nov 8, 2018 MForm 4 → | Nov 13, 5:16 pm EST | George Burton WhiteManaging Director | 26,108 | — | — | 23,892 | — | late |
| Aug 27, 2018 MForm 4 → | Aug 27, 6:05 pm EDT | Michelle OroschakoffManaging Director | 6,000 | — | — | 22,734 | — | |
| Aug 1, 2018 MForm 4 → | Aug 3, 5:30 pm EDT | Dan H. ArnoldPresident & CEO, Director | 13,226 | — | — | 36,774 | — | |
| Mar 13, 2018 MForm 4 → | Mar 15, 9:51 pm EDT | George Burton WhiteManaging Director | 25,000 | — | — | 0 | — | |
| Mar 7, 2018 MForm 4 → | Mar 8, 7:05 pm EST | Dan H. ArnoldPresident & CEO, Director | 10,000 | — | — | 6,000 | — | |
| Mar 2, 2018 MForm 4 → | Mar 2, 5:44 pm EST | James S RiepeDirector | 13,500 | — | — | 0 | — | |
| Feb 23, 2018 AForm 4 → | Feb 27, 8:49 pm EST | George Burton WhiteManaging Director | 9,448 | — | — | 9,448 | — | |
| Feb 23, 2018 AForm 4 → | Feb 27, 8:43 pm EST | Scott SeeseManaging Director | 12,850 | — | — | 12,850 | — | |
| Feb 23, 2018 AForm 4 → | Feb 27, 8:38 pm EST | Michelle OroschakoffManaging Director | 9,448 | — | — | 9,448 | — | |
| Feb 23, 2018 AForm 4 → | Feb 27, 8:28 pm EST | William P. Morrissey Jr.Managing Director | 6,047 | — | — | 6,047 | — | |
| Feb 23, 2018 AForm 4 → | Feb 27, 8:06 pm EST | Sallie R. LarsenManaging Director | 7,105 | — | — | 7,105 | — | |
| Feb 23, 2018 AForm 4 → | Feb 27, 7:56 pm EST | John Andrew KalbaughManaging Director | 8,745 | — | — | 8,745 | — | |
| Feb 23, 2018 AForm 4 → | Feb 27, 7:47 pm EST | Thomas GooleyManaging Director | 10,582 | — | — | 10,582 | — | |
| Feb 23, 2018 AForm 4 → | Feb 27, 7:41 pm EST | Tracy CalderManaging Director | 4,837 | — | — | 4,837 | — | |
| Feb 23, 2018 AForm 4 → | Feb 27, 7:35 pm EST | Matthew J AudetteChief Financial Officer | 15,874 | — | — | 15,874 | — | |
| Feb 23, 2018 AForm 4 → | Feb 27, 7:28 pm EST | Dan H. ArnoldPresident & CEO, Director | 77,606 | — | — | 77,606 | — | |
| Feb 5, 2018 MForm 4 → | Feb 7, 5:59 pm EST | William P. Morrissey Jr.Managing Director | 20,000 | — | — | 0 | — | |
| Feb 5, 2018 MForm 4 → | Feb 7, 5:50 pm EST | John Andrew KalbaughManaging Director | 10,000 | — | — | 0 | — | |
| Jan 8, 2018 MForm 4 → | Jan 9, 5:17 pm EST | James S RiepeDirector | 4,500 | — | — | 0 | — | |
| Nov 15, 2017 MForm 4 → | Nov 17, 4:41 pm EST | Dan H. ArnoldPresident & CEO, Director | 3,742 | — | — | 0 | — | |
| Aug 23, 2017 MForm 4 → | Aug 25, 5:46 pm EDT | Dan H. ArnoldPresident & CEO, Director | 17,985 | — | — | 3,742 | — | |
| Jun 2, 2017 MForm 4 → | Jun 5, 8:12 pm EDT | William P. Morrissey Jr.Managing Director | 32,150 | — | — | 0 | — | |
| Mar 13, 2017 AForm 4 → | Mar 15, 9:41 pm EDT | George Burton WhiteManaging Director | 15,930 | — | — | 15,930 | — | |
| Mar 13, 2017 AForm 4 → | Mar 15, 9:37 pm EDT | Michelle OroschakoffManaging Director | 12,744 | — | — | 12,744 | — | |
| Mar 13, 2017 AForm 4 → | Mar 15, 9:32 pm EDT | William P. Morrissey Jr.Managing Director | 12,137 | — | — | 12,137 | — | |
| Mar 13, 2017 AForm 4 → | Mar 15, 9:28 pm EDT | Sallie R. LarsenManaging Director | 9,973 | — | — | 9,973 | — | |
| Mar 13, 2017 AForm 4 → | Mar 15, 9:22 pm EDT | John Andrew KalbaughManaging Director | 14,676 | — | — | 14,676 | — | |
| Mar 13, 2017 AForm 4 → | Mar 15, 9:14 pm EDT | Thomas GooleyManaging Director | 20,778 | — | — | 20,778 | — | |
| Mar 13, 2017 AMForm 4 → | Mar 15, 9:07 pm EDT | Tracy CalderManaging Director | 18,004 | — | — | 8,443 | — | |
| Mar 13, 2017 AForm 4 → | Mar 15, 9:00 pm EDT | David P. BergersManaging Director | 13,192 | — | — | 13,192 | — | |
| Mar 13, 2017 AForm 4 → | Mar 15, 8:56 pm EDT | Matthew J AudetteChief Financial Officer | 27,704 | — | — | 27,704 | — | |
| Mar 13, 2017 AForm 4 → | Mar 15, 8:51 pm EDT | Dan H. ArnoldPresident & CEO, Director | 123,131 | — | — | 123,131 | — | |
| Mar 2, 2017 MForm 4 → | Mar 6, 5:15 pm EST | Mark S CasadyDirector | 2,000 | — | — | 401,329 | — | |
| Feb 23, 2017 MForm 4 → | Feb 23, 9:48 pm EST | John Andrew KalbaughMD, Divisional President NSC | 30,000 | — | — | 0 | — | |
| Feb 22, 2017 MForm 4 → | Feb 23, 9:54 pm EST | George Burton WhiteMD, Investor & Invstmt Solutns | 25,000 | — | — | 0 | — | |
| Feb 22, 2017 MForm 4 → | Feb 23, 9:46 pm EST | Mark S CasadyDirector | 58,628 | — | — | 0 | — | |
| Feb 13, 2017 MForm 4 → | Feb 15, 9:42 pm EST | Mark S CasadyDirector | 632,324 | — | — | 58,628 | — | |
| Jun 13, 2016 AForm 4 → | Jun 15, 4:46 pm EDT | John Andrew KalbaughMD,Rel. Mgmt & Bus. Consulting | 17,076 | — | — | 17,076 | — | |
| Jun 13, 2016 AForm 4 → | Jun 15, 4:43 pm EDT | Thomas GooleyMD, Svc, Trading & Operations | 23,907 | — | — | 23,907 | — | |
| Feb 25, 2016 AForm 4 → | Feb 29, 9:14 pm EST | George Burton WhiteMD, Research | 64,980 | — | — | 64,980 | — | |
| Feb 25, 2016 AForm 4 → | Feb 29, 9:10 pm EST | Ryan ParkerMD, Invstmt & Planning Solutns | 50,192 | — | — | 50,192 | — | |
| Feb 25, 2016 AForm 4 → | Feb 29, 9:06 pm EST | Michelle OroschakoffMD, Chief Risk Officer | 35,851 | — | — | 35,851 | — | |
| Feb 25, 2016 AForm 4 → | Feb 29, 9:02 pm EST | William P. Morrissey Jr.MD, Business Development | 54,673 | — | — | 54,673 | — | |
| Feb 25, 2016 AForm 4 → | Feb 29, 8:57 pm EST | Sallie R. LarsenMD, Chief Human Cap. Officer | 44,592 | — | — | 44,592 | — | |
| Feb 25, 2016 AForm 4 → | Feb 29, 8:52 pm EST | John Andrew KalbaughMD,Rel. Mgmt & Bus. Consulting | 67,669 | — | — | 67,669 | — | |
| Feb 25, 2016 AForm 4 → | Feb 29, 8:47 pm EST | Thomas GooleyMD, Svc, Trading & Operations | 44,814 | — | — | 44,814 | — | |
| Feb 25, 2016 AForm 4 → | Feb 29, 8:41 pm EST | Victor FetterMD, Chief Information Officer | 61,934 | — | — | 61,934 | — | |
| Feb 25, 2016 AForm 4 → | Feb 29, 8:29 pm EST | Mark S CasadyChairman & Chief Exec. Officer, Director | 403,329 | — | — | 403,329 | — | |
| Feb 25, 2016 AForm 4 → | Feb 29, 8:15 pm EST | Tracy CalderMD, Deputy Chief Risk Officer | 28,681 | — | — | 28,681 | — | |
| Feb 25, 2016 AForm 4 → | Feb 29, 8:10 pm EST | Jeffrey R. BuchheisterEVP, Chief Accounting Officer | 15,583 | — | — | 15,583 | — | |
| Feb 25, 2016 AForm 4 → | Feb 29, 8:05 pm EST | David P. BergersMD, Legal & Gov't Relations | 44,814 | — | — | 44,814 | — | |
| Feb 25, 2016 AForm 4 → | Feb 29, 7:57 pm EST | Matthew J AudetteChief Financial Officer | 94,110 | — | — | 94,110 | — | |
| Feb 25, 2016 AForm 4 → | Feb 29, 7:51 pm EST | Dan H. ArnoldPresident | 98,031 | — | — | 98,031 | — | |
| Dec 14, 2015 MForm 4 → | Dec 16, 4:21 pm EST | William P. Morrissey Jr.MD, Divisional Pres. of IAS | 25,000 | — | — | 13,907 | — | |
| Oct 30, 2015 AForm 4 → | Nov 3, 4:21 pm EST | Matthew J AudetteChief Financial Officer | 17,605 | — | — | 17,605 | — | |
| Aug 6, 2015 AForm 4 → | Aug 10, 5:34 pm EDT | Thomas GooleyMD, Svc, Trading & Operations | 20,576 | — | — | 20,576 | — | |
| Jun 10, 2015 MForm 4 → | Jun 12, 5:08 pm EDT | Dan H. ArnoldPresident | 4,273 | — | — | 21,727 | — | |
| Jun 10, 2015 AForm 4 → | Jun 12, 5:02 pm EDT | George Burton WhiteMD, Chief Investment Officer | 6,341 | — | — | 6,341 | — | |
| Jun 2, 2015 MForm 4 → | Jun 4, 5:43 pm EDT | Sharyn HandelsmanMD, Chief Compliance Officer | 6,393 | $30.97 | $197,981 | 8,657 | — | |
| May 28, 2015 MForm 4 → | Jun 1, 5:07 pm EDT | Jeffrey R. BuchheisterEVP, Chief Accounting Officer | 13,360 | — | — | 0 | — | |
| May 18, 2015 MForm 4 → | May 20, 6:19 pm EDT | Lux ThomasActing Chief Financial Officer | 2,000 | — | — | 11,300 | — | |
| Apr 10, 2015 MForm 4 → | Apr 14, 5:07 pm EDT | Lux ThomasActing Chief Financial Officer | 2,000 | — | — | 13,300 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 9:13 pm EDT | George Burton WhiteMD, Chief Investment Officer | 27,936 | — | — | 27,936 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 9:09 pm EDT | Mary Frances SchottMD, Client Expernce & Training | 14,018 | — | — | 14,018 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 9:03 pm EDT | Ryan ParkerMD, Invstmt & Planning Solutns | 13,833 | — | — | 13,833 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 8:57 pm EDT | Michelle OroschakoffMD, Chief Risk Officer | 22,594 | — | — | 6,455 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 8:52 pm EDT | William P. Morrissey Jr.MD, Independent Advisor Svcs | 14,018 | — | — | 14,018 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 8:47 pm EDT | Sallie R. LarsenMD, Chief Human Cap. Officer | 21,580 | — | — | 4,980 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 8:41 pm EDT | John Andrew KalbaughMD, Institution Services | 28,774 | — | — | 10,790 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 8:30 pm EDT | Mark HellikerMD, Client Support Services | 18,445 | — | — | 18,445 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 8:25 pm EDT | Victor FetterMD, Chief Information Officer | 30,019 | — | — | 8,577 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 8:18 pm EDT | Mark S CasadyChairman & Chief Exec. Officer, Director | 400,000 | — | — | 400,000 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 8:15 pm EDT | Jeffrey R. BuchheisterEVP, Chief Accounting Officer | 5,978 | — | — | 5,978 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 8:08 pm EDT | David P. BergersMD, Legal & Gov't Relations | 23,056 | — | — | 23,056 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 8:04 pm EDT | Dan H. ArnoldChief Financial Officer | 25,362 | — | — | 25,362 | — | |
| Feb 24, 2015 MForm 4 → | Feb 26, 8:05 pm EST | Dan H. ArnoldChief Financial Officer | 5,458 | — | — | 26,000 | — | |
| Feb 19, 2015 MForm 4 → | Feb 23, 4:19 pm EST | Dan H. ArnoldChief Financial Officer | 18,542 | — | — | 31,458 | — |