Insider at

04

Insider transactions

05
0 buys (P) 0 sells (S) Net: $0 + 3 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

3 other filings hidden
DateTickerCodeSharesPriceValue Owned afterΔ ownA/Dvs now
Dec. 22, 2010 LPLA P 30,000 · · 30,000 Direct · Acquired (price as of 2026-10-02)

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.

06
DateTickerSecurityUnderlying Exercise priceExpirationSharesA/D
Feb. 22, 2013 LPLA Option to Purchase Common Stock Common Stock (10,992) $31.60 Feb. 22, 2023 10,992 Acquired
Feb. 9, 2012 LPLA Option to Purchase Common Stock Common Stock (24,004) $32.26 Feb. 9, 2022 24,004 Acquired
Dec. 22, 2010 LPLA Option to Purchase Common Stock Common (30,000) $34.61 Dec. 22, 2020 30,000 Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 1 holding

07

Securities held when first becoming an insider, per SEC Form 3.

DateTickerSecuritySharesOwnership
March 23, 2010 LPLA Option Award→ Common Stock (30,000) 30,000 Direct