Mark S Casady

CIK 1405275 · View on SEC EDGAR ↗

Insider

First SEC filing: Feb. 13, 2020 · Latest: Feb. 13, 2020

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Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 60 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

60 other filings hidden
Date Ticker Code Shares Price Value Owned after Δ own A/D vs now
March 2, 2017 LPLA S 2,000 $40.75 $81,500 130,957 Direct -1.50% Disposed 780.0% (price as of 2026-08-21)
Feb. 22, 2017 LPLA S 58,628 $40.40 $2,368,571 130,957 Direct -30.92% Disposed 787.7% (price as of 2026-08-21)
Feb. 15, 2017 LPLA S 365,213 $40.76 $14,886,082 130,957 Direct -73.61% Disposed 779.8% (price as of 2026-08-21)
Feb. 14, 2017 LPLA S 204,471 $40.65 $8,311,746 130,957 Direct -60.96% Disposed 782.2% (price as of 2026-08-21)
Feb. 13, 2017 LPLA S 62,640 $40.84 $2,558,218 130,957 Direct -32.36% Disposed 778.1% (price as of 2026-08-21)
May 28, 2015 LPLA P 21,100 $42.48 $896,328 63,871 Direct +49.33% Acquired 744.2% (price as of 2026-08-21)
Aug. 16, 2012 LPLA S 142,662 $28.63 $4,084,413 1,039,671 Direct -12.07% Disposed 1152.6% (price as of 2026-08-21)
Feb. 9, 2012 LPLA S 60,000 $32.28 $1,936,800 1,220,133 Direct -4.69% Disposed 1011.0% (price as of 2026-08-21)
Dec. 1, 2011 LPLA S 984 $30.00 $29,520 1,280,133 Direct -0.08% Disposed 1095.4% (price as of 2026-08-21)
Nov. 30, 2011 LPLA S 19,016 $30.00 $570,480 1,281,117 Direct -1.46% Disposed 1095.4% (price as of 2026-08-21)
Dec. 22, 2010 LPLA P 150,000 — — 150,000 Direct — Acquired (price as of 2026-08-21)
Nov. 17, 2010 LPLA S 2,148,916 $30.00 $64,467,480 1,758,204 Direct -55.00% Disposed 1095.4% (price as of 2026-08-21)
Sept. 14, 2009 LPLA P 120,000 — — 120,000 Direct — Acquired (price as of 2026-08-21)

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 2, 2017 LPLA Option to purchase Common Stock Common Stock (2,000) $19.85 — 2,000 Disposed
Feb. 22, 2017 LPLA Option to purchase Common Stock Common Stock (58,628) $31.60 Feb. 22, 2023 58,628 Disposed
Feb. 15, 2017 LPLA Option to purchase Common Stock Common Stock (2,889) $34.61 Dec. 22, 2020 2,889 Disposed
Feb. 15, 2017 LPLA Option to purchase Common Stock Common Stock (186,439) $32.26 Feb. 9, 2022 186,439 Disposed
Feb. 15, 2017 LPLA Option to purchase Common Stock Common Stock (175,885) $31.60 Feb. 22, 2023 175,885 Disposed
Feb. 14, 2017 LPLA Option to purchase Common Stock Common Stock (57,360) $22.08 Sept. 14, 2019 57,360 Disposed
Feb. 14, 2017 LPLA Option to purchase Common Stock Common Stock (147,111) $34.61 Dec. 22, 2020 147,111 Disposed
Feb. 13, 2017 LPLA Option to purchase Common Stock Common Stock (62,640) $22.08 Sept. 14, 2019 62,640 Disposed
Feb. 25, 2016 LPLA Option to purchase Common Stock Common Stock (403,329) $19.85 Feb. 25, 2026 403,329 Acquired
March 6, 2015 LPLA Option to purchase Common Stock Common Stock (400,000) $45.55 March 6, 2025 400,000 Acquired
Feb. 24, 2014 LPLA Option to purchase common stock Common Stock (148,375) $54.81 Feb. 24, 2024 148,375 Acquired
Feb. 22, 2013 LPLA Option to Purchase Common Stock Common Stock (234,513) $31.60 Feb. 22, 2023 234,513 Acquired
Feb. 9, 2012 LPLA Option to Purchase Common Stock Common Stock (186,439) $32.26 Feb. 9, 2022 186,439 Acquired
Dec. 22, 2010 LPLA Option to Purchase Common Stock Common (150,000) $34.61 Dec. 22, 2020 150,000 Acquired
Nov. 17, 2010 LPLA Stock Option (Right to Buy) Common Stock — May 2, 2013 2,003,650 Disposed
Nov. 17, 2010 LPLA Stock Option (Right to Buy) Common Stock — Nov. 30, 2013 500,910 Disposed
Nov. 17, 2010 LPLA Stock Option (Right to Buy) Common Stock — May 31, 2014 1,402,560 Disposed
Sept. 14, 2009 LPLA Option to purchase common stock Common (120,000) $22.08 Sept. 14, 2019 120,000 Acquired

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

Initial ownership (Form 3) 6 holdings

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

Date Ticker Security Shares Ownership
June 29, 2007 LPLA Option Awards→ Common Stock (133,576) 133,576 Direct
June 29, 2007 LPLA Option Awards→ Common Stock (66,789) 66,789 Direct
June 29, 2007 LPLA Option Awards→ Common Stock (33,394) 33,394 Direct
June 29, 2007 LPLA Option Awards→ Common Stock (16,697) 16,697 Direct
June 29, 2007 LPLA Option Awards→ Common Stock (93,504) 93,504 Direct
June 29, 2007 LPLA Option Awards→ Common Stock (46,752) 46,752 Direct

Compensation (DEF 14A)

Matched by name from proxy statements (DEF 14A) — verify against the filing.

LPLA

Fiscal year Salary Bonus Stock awards Option awards Non-equity incentive Pension change Other Total
2010 $800,000 $2,225,000 — $2,677,905 — — $39,820 $5,742,725
2009 $800,000 $1,500,000 — $1,414,440 — — $10,738 $3,725,178
2008 $800,000 $1,032,742 — — — — $10,707 $1,843,449

Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.