Steven M. Black
CIK 1405044 · View on SEC EDGAR ↗
Insider
First SEC filing: June 29, 2007 · Latest: June 29, 2007
On this page
Insider at
Insider transactions
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
No open-market trades on record; showing all filings.
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Dec. 31, 2008 | LPLA | J | 408,446 | — | — | 408,446 Direct | — | Acquired | (price as of 2026-08-20) |
| Dec. 31, 2008 | LPLA | J | 434,200 | — | — | 0 Direct | -100.00% | Disposed | (price as of 2026-08-20) |
| Feb. 5, 2008 | LPLA | A | 10,000 | — | — | 10,000 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 |
|---|---|---|---|---|---|---|---|
| Dec. 31, 2008 | LPLA | Restricted Stock Units [F1] | Common Stock (408,446) | — | — | 408,446 | Acquired |
| Dec. 31, 2008 | LPLA | Stock Options [F1] | Common Stock (434,200) | $1.07 | Dec. 14, 2009 | 434,200 | Disposed |
| Feb. 5, 2008 | LPLA | Option award (right to buy) | Common Stock (10,000) | $27.80 | Feb. 5, 2018 | 10,000 | 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 (21,709) | 21,709 | Direct |
| June 29, 2007 | LPLA | Option Awards→ Common Stock (21,711) | 21,711 | Direct |
| June 29, 2007 | LPLA | Option Awards→ Common Stock (89,056) | 89,056 | Direct |
| June 29, 2007 | LPLA | Option Awards→ Common Stock (44,528) | 44,528 | Direct |
| June 29, 2007 | LPLA | Option Awards→ Common Stock (42,747) | 42,747 | Direct |
| June 29, 2007 | LPLA | Option Awards→ Common Stock (21,374) | 21,374 | Direct |