Stephanie L Brown
CIK 1405364 · View on SEC EDGAR ↗
First SEC filing: June 29, 2007 · Latest: June 29, 2007
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
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Jan. 29, 2013 | LPLA | S 10b5-1 | 10,349 | $34.00 | $351,866 | 542,371 Direct | -1.87% | Disposed | 951.5% (price as of 2026-08-20) |
| Jan. 29, 2013 | LPLA | S 10b5-1 | 11,000 | $33.00 | $363,000 | 552,720 Direct | -1.95% | Disposed | 983.3% (price as of 2026-08-20) |
| Jan. 28, 2013 | LPLA | S 10b5-1 | 10,349 | $32.00 | $331,168 | 563,720 Direct | -1.80% | Disposed | 1017.2% (price as of 2026-08-20) |
| Jan. 9, 2013 | LPLA | S 10b5-1 | 10,350 | $30.00 | $310,500 | 574,069 Direct | -1.77% | Disposed | 1091.7% (price as of 2026-08-20) |
| Nov. 23, 2012 | LPLA | S 10b5-1 | 32,056 | $27.00 | $865,512 | 584,419 Direct | -5.20% | Disposed | 1224.1% (price as of 2026-08-20) |
| Nov. 1, 2012 | LPLA | S 10b5-1 | 5,122 | $29.17 | $149,409 | 616,475 Direct | -0.82% | Disposed | 1125.6% (price as of 2026-08-20) |
| Oct. 31, 2012 | LPLA | S 10b5-1 | 1,008 | $29.02 | $29,252 | 621,597 Direct | -0.16% | Disposed | 1131.9% (price as of 2026-08-20) |
| June 29, 2012 | LPLA | S 10b5-1 | 11,000 | $33.83 | $372,130 | 622,605 Direct | -1.74% | Disposed | 956.7% (price as of 2026-08-20) |
| April 10, 2012 | LPLA | S | 11,000 | $37.36 | $410,960 | 619,107 Direct | -1.75% | Disposed | 856.9% (price as of 2026-08-20) |
| April 10, 2012 | LPLA | S | 14,000 | $37.26 | $521,640 | 630,107 Direct | -2.17% | Disposed | 859.5% (price as of 2026-08-20) |
| July 6, 2011 | LPLA | S | 17,057 | $35.00 | $596,995 | 680,985 Direct | -2.44% | Disposed | 921.4% (price as of 2026-08-20) |
| Dec. 22, 2010 | LPLA | P | 40,000 | — | — | 40,000 Direct | — | Acquired | (price as of 2026-08-20) |
| Nov. 17, 2010 | LPLA | S | 125,831 | $30.00 | $3,774,930 | 713,042 Direct | -15.00% | Disposed | 1091.7% (price as of 2026-08-20) |
| Sept. 14, 2009 | LPLA | P | 40,000 | — | — | 40,000 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 |
|---|---|---|---|---|---|---|---|
| Feb. 22, 2013 | LPLA | Option to Purchase Common Stock | Common Stock (21,106) | $31.60 | Feb. 22, 2023 | 21,106 | Acquired |
| May 10, 2012 | LPLA | Option to Purchase Common Stock | Common Stock (14,498) | $22.08 | Sept. 14, 2019 | 14,498 | Disposed |
| Feb. 22, 2012 | LPLA | Restricted Stock Units | Common Stock (60,843) | $0.00 | — | 60,843 | Disposed |
| Feb. 9, 2012 | LPLA | Option to Purchase Common Stock | Common Stock (25,502) | $32.26 | Feb. 9, 2022 | 25,502 | Acquired |
| Dec. 22, 2010 | LPLA | Option to Purchase Common Stock | Common (40,000) | $34.61 | Dec. 22, 2020 | 40,000 | Acquired |
| Sept. 21, 2009 | LPLA | Stock Options | Common Stock (64,680) | $1.07 | Dec. 14, 1999 | 64,680 | Disposed |
| Sept. 14, 2009 | LPLA | Option to purchase common stock | Common (40,000) | $22.08 | Sept. 14, 2019 | 40,000 | Acquired |
| Dec. 31, 2008 | LPLA | Restricted Stock Units [F1] | Common Stock (60,843) | — | — | 60,843 | Acquired |
| Dec. 31, 2008 | LPLA | Stock Options [F1] | Common Stock (64,680) | $1.07 | Dec. 14, 2009 | 64,680 | Disposed |
| Feb. 5, 2008 | LPLA | Option award (right to buy) | Common Stock (15,000) | $27.80 | Feb. 5, 2018 | 15,000 | Acquired |
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 3 holdings
Securities held when first becoming an insider, per SEC Form 3.
Compensation (DEF 14A)
Matched by name from proxy statements (DEF 14A) — verify against the filing.
| Fiscal year | Salary | Bonus | Stock awards | Option awards | Non-equity incentive | Pension change | Other | Total |
|---|---|---|---|---|---|---|---|---|
| 2009 | $355,000 | $300,000 | — | $471,480 | — | — | — | $1,126,480 |
| 2008 | — | — | — | — | — | — | — | — |
| 2007 | — | — | — | — | — | — | — | — |
Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.