David P. Bergers
CIK 1583698 · View on SEC EDGAR ↗
Insider
First SEC filing: Aug. 7, 2013 · Latest: Aug. 7, 2013
On this page
- Insider at Companies where this person is a reporting insider.
- Insider transactions Every share this person bought or sold, from Form 4 filings.
- Derivatives Options and other derivative holdings reported by this person.
- Initial holdings The stakes this person held when they first started reporting.
- Compensation Executive pay disclosed in company proxy statements.
Insider at
Insider transactions
0 buys (P)
0 sells (S)
Net:
$0
+ 23 non-open-market transactions below
last 12 months, based on the transactions shown below
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
No open-market trades on record; showing all filings.
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| March 13, 2017 | LPLA | A | 3,769 | — | — | 43,382 Direct | +9.51% | Acquired | (price as of 2026-08-20) |
| March 13, 2017 | LPLA | A | 13,192 | — | — | 13,192 Direct | — | Acquired | (price as of 2026-08-20) |
| March 6, 2017 | LPLA | F | 518 | $39.30 | $20,357 | 39,613 Direct | -1.29% | Disposed | 809.7% (price as of 2026-08-20) |
| Feb. 25, 2017 | LPLA | F | 614 | $39.13 | $24,026 | 40,131 Direct | -1.51% | Disposed | 813.6% (price as of 2026-08-20) |
| Feb. 24, 2017 | LPLA | F | 142 | $39.13 | $5,556 | 40,745 Direct | -0.35% | Disposed | 813.6% (price as of 2026-08-20) |
| Aug. 5, 2016 | LPLA | F | 1,320 | $26.72 | $35,270 | 40,887 Direct | -3.13% | Disposed | 1237.9% (price as of 2026-08-20) |
| March 6, 2016 | LPLA | F | 357 | $21.44 | $7,654 | 42,207 Direct | -0.84% | Disposed | 1567.4% (price as of 2026-08-20) |
| Feb. 25, 2016 | LPLA | A | 5,490 | — | — | 39,453 Direct | +16.16% | Acquired | (price as of 2026-08-20) |
| Feb. 25, 2016 | LPLA | A | 3,111 | — | — | 42,564 Direct | +7.89% | Acquired | (price as of 2026-08-20) |
| Feb. 25, 2016 | LPLA | A | 44,814 | — | — | 44,814 Direct | — | Acquired | (price as of 2026-08-20) |
| Feb. 24, 2016 | LPLA | F | 142 | $19.35 | $2,748 | 33,963 Direct | -0.42% | Disposed | 1747.5% (price as of 2026-08-20) |
| Aug. 5, 2015 | LPLA | F | 19,218 | $43.66 | $839,058 | 34,105 Direct | -36.04% | Disposed | 718.8% (price as of 2026-08-20) |
| March 6, 2015 | LPLA | A | 3,293 | — | — | 53,323 Direct | +6.58% | Acquired | (price as of 2026-08-20) |
| March 6, 2015 | LPLA | A | 23,056 | — | — | 23,056 Direct | — | Acquired | (price as of 2026-08-20) |
| Feb. 24, 2015 | LPLA | F | 142 | $45.58 | $6,472 | 50,030 Direct | -0.28% | Disposed | 684.3% (price as of 2026-08-20) |
| Aug. 5, 2014 | LPLA | F | 516 | $46.51 | $23,999 | 44,797 Direct | -1.14% | Disposed | 668.6% (price as of 2026-08-20) |
| Aug. 5, 2014 | LPLA | A | 5,375 | — | — | 50,172 Direct | +12.00% | Acquired | (price as of 2026-08-20) |
| Aug. 5, 2014 | LPLA | A | 15,039 | — | — | 15,039 Direct | — | Acquired | (price as of 2026-08-20) |
| Feb. 24, 2014 | LPLA | A | 1,122 | — | — | 45,313 Direct | +2.54% | Acquired | (price as of 2026-08-20) |
| Feb. 24, 2014 | LPLA | A | 6,912 | — | — | 6,912 Direct | — | Acquired | (price as of 2026-08-20) |
| Aug. 5, 2013 | LPLA | A | 6,313 | — | — | 6,313 Direct | — | Acquired | (price as of 2026-08-20) |
| Aug. 5, 2013 | LPLA | A | 37,878 | — | — | 44,191 Direct | +600.00% | Acquired | (price as of 2026-08-20) |
| Aug. 5, 2013 | LPLA | A | 16,868 | — | — | 16,868 Direct | — | Acquired | (price as of 2026-08-20) |
P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding
Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.
Derivative holdings (Form 4 Table II)
Options, RSUs and convertible securities reported on Form 4 Table II.
| Date | Ticker | Security | Underlying | Exercise price | Expiration | Shares | A/D |
|---|---|---|---|---|---|---|---|
| March 13, 2017 | LPLA | Option to purchase Common Stock | Common Stock (13,192) | $39.48 | March 13, 2027 | 13,192 | Acquired |
| Feb. 25, 2016 | LPLA | Option to purchase Common Stock | Common Stock (44,814) | $19.85 | Feb. 25, 2026 | 44,814 | Acquired |
| March 6, 2015 | LPLA | Option to purchase Common Stock | Common Stock (23,056) | $45.55 | March 6, 2025 | 23,056 | Acquired |
| Aug. 5, 2014 | LPLA | Option to purchase Common Stock | Common Stock (15,039) | $46.51 | Aug. 5, 2024 | 15,039 | Acquired |
| Feb. 24, 2014 | LPLA | Option to purchase common stock | Common Stock (6,912) | $54.81 | Feb. 24, 2024 | 6,912 | Acquired |
| Aug. 5, 2013 | LPLA | Option to purchase common stock | Common Stock (16,868) | $39.60 | Aug. 5, 2023 | 16,868 | Acquired |
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 1 holding
Securities held when first becoming an insider, per SEC Form 3.
| Date | Ticker | Security | Shares | Ownership |
|---|---|---|---|---|
| Aug. 7, 2013 | LPLA | No securities are beneficially owned | 0 | Direct |
Compensation (DEF 14A)
Matched by name from proxy statements (DEF 14A) — verify against the filing.
LPLA
General Counsel| Fiscal year | Salary | Bonus | Stock awards | Option awards | Non-equity incentive | Pension change | Other | Total |
|---|---|---|---|---|---|---|---|---|
| 2014 | $600,000 | — | — | — | $900,000 | — | $49,130 | $2,239,608 |
| 2013 | $244,932 | $1,500,000 | — | — | $367,380 | — | $6,742 | $4,048,170 |
Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.