James S Putnam

CIK 1405298 · View on SEC EDGAR ↗

Insider

First SEC filing: June 8, 2026 · Latest: June 8, 2026

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Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 76 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

76 other filings hidden
Date Ticker Code Shares Price Value Owned after Δ own A/D vs now
Jan. 9, 2014 LPLA S 10b5-1 30,000 $50.00 $1,500,000 104,280 Direct -22.34% Disposed 617.2% (price as of 2026-08-21)
Jan. 7, 2014 LPLA S 10b5-1 30,000 $48.00 $1,440,000 134,280 Direct -18.26% Disposed 647.1% (price as of 2026-08-21)
Dec. 23, 2013 LPLA S 10b5-1 30,000 $46.00 $1,380,000 164,280 Direct -15.44% Disposed 679.6% (price as of 2026-08-21)
Dec. 10, 2013 LPLA S 10b5-1 11,102 $44.00 $488,488 194,280 Direct -5.41% Disposed 715.0% (price as of 2026-08-21)
Dec. 9, 2013 LPLA S 10b5-1 18,898 $44.00 $831,512 205,382 Direct -8.43% Disposed 715.0% (price as of 2026-08-21)
Oct. 21, 2013 LPLA S 10b5-1 3,359 $40.01 $134,394 253,096 Direct -1.31% Disposed 796.3% (price as of 2026-08-21)
Oct. 21, 2013 LPLA S 10b5-1 9,233 $40.04 $369,689 49,697 Indirect -15.67% Disposed 795.7% (price as of 2026-08-21)
Oct. 18, 2013 LPLA S 10b5-1 26,641 $40.01 $1,065,906 256,456 Direct -9.41% Disposed 796.3% (price as of 2026-08-21)
Oct. 18, 2013 LPLA S 10b5-1 38,267 $40.00 $1,530,680 58,930 Indirect -39.37% Disposed 796.6% (price as of 2026-08-21)
May 15, 2013 LPLA S 10b5-1 30,000 $38.00 $1,140,000 283,096 Direct -9.58% Disposed 843.7% (price as of 2026-08-21)
May 15, 2013 LPLA S 10b5-1 45,000 $38.00 $1,710,000 97,197 Indirect -31.65% Disposed 843.7% (price as of 2026-08-21)
May 9, 2013 LPLA S 10b5-1 30,000 $36.00 $1,080,000 313,096 Direct -8.74% Disposed 896.2% (price as of 2026-08-21)
May 9, 2013 LPLA S 10b5-1 40,000 $36.00 $1,440,000 142,197 Indirect -21.95% Disposed 896.2% (price as of 2026-08-21)
April 10, 2013 LPLA S 40,000 $34.01 $1,360,400 182,197 Indirect -18.00% Disposed 954.5% (price as of 2026-08-21)
April 10, 2013 LPLA S 25,000 $34.01 $850,250 343,096 Direct -6.79% Disposed 954.5% (price as of 2026-08-21)
Feb. 19, 2013 LPLA S 18,207 $32.67 $594,823 222,197 Indirect -7.57% Disposed 997.7% (price as of 2026-08-21)
Feb. 19, 2013 LPLA S 22,293 $32.67 $728,312 366,514 Direct -5.73% Disposed 997.7% (price as of 2026-08-21)
Feb. 15, 2013 LPLA S 21,793 $32.66 $711,759 240,404 Indirect -8.31% Disposed 998.0% (price as of 2026-08-21)
Feb. 15, 2013 LPLA S 17,707 $32.66 $578,311 388,808 Direct -4.36% Disposed 998.0% (price as of 2026-08-21)
March 27, 2012 LPLA S 37,544 $38.01 $1,427,047 262,197 Indirect -12.53% Disposed 843.5% (price as of 2026-08-21)
March 26, 2012 LPLA S 2,456 $38.00 $93,328 299,741 Indirect -0.81% Disposed 843.7% (price as of 2026-08-21)
March 9, 2012 LPLA S 40,000 $36.00 $1,440,000 302,197 Indirect -11.69% Disposed 896.2% (price as of 2026-08-21)
Jan. 19, 2012 LPLA S 18,417 $34.01 $626,362 287,535 Indirect -6.02% Disposed 954.5% (price as of 2026-08-21)
Jan. 18, 2012 LPLA S 21,583 $34.00 $733,822 305,952 Indirect -6.59% Disposed 954.8% (price as of 2026-08-21)

Showing latest 100 of 110 transactions

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
Feb. 22, 2012 LPLA Restricted Stock Units Common Stock (94,256) $0.00 — 94,256 Disposed
Nov. 17, 2010 LPLA Stock Option (Right to Buy) Common Stock — May 31, 2014 534,330 Disposed
Nov. 17, 2010 LPLA Stock Option (Right to Buy) Common Stock — Nov. 30, 2013 100,190 Disposed
Nov. 17, 2010 LPLA Stock Option (Right to Buy) Common Stock — May 2, 2013 100,180 Disposed

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
July 2, 2007 LPLA Common Stock 48,696 Direct