Mary Frances Schott

Insider

First SEC filing: June 16, 2014 · Latest: June 16, 2014

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Insider at

0 buys (P) 0 sells (S) Net: $0 + 5 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 6, 2015	LPLA	A	2,002	—	—	6,446 Direct	+45.05%	Acquired	(price as of 2026-08-20)
March 6, 2015	LPLA	A	14,018	—	—	14,018 Direct	—	Acquired	(price as of 2026-08-20)
Feb. 25, 2015	LPLA	F	838	$45.46	$38,095	4,444 Direct	-15.87%	Disposed	686.4% (price as of 2026-08-20)
Feb. 24, 2015	LPLA	F	212	$45.58	$9,663	5,282 Direct	-3.86%	Disposed	684.3% (price as of 2026-08-20)
Feb. 22, 2015	LPLA	F	250	$45.69	$11,422	5,494 Direct	-4.35%	Disposed	682.4% (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.

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
March 6, 2015	LPLA	Option to purchase Common Stock	Common Stock (14,018)	$45.55	March 6, 2025	14,018	Acquired

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

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

Date	Ticker	Security	Shares	Ownership
June 16, 2014	LPLA	Common	5,744	Direct
June 16, 2014	LPLA	Option to purchase Common Stock→ Common Stock (12,702)	12,702	Direct
June 16, 2014	LPLA	Option to purchase Common Stock→ Common Stock (9,045)	9,045	Direct
June 16, 2014	LPLA	Option to purchase Common Stock→ Common Stock (5,780)	5,780	Direct