Thomas Gooley

Insider

First SEC filing: July 6, 2015 · Latest: July 6, 2015

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.

Insider at

LPLA selling March 14, 2019

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 36 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

36 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
March 14, 2019	LPLA	M	14,938	$19.85	$296,519	32,231 Direct	+86.38%	Acquired	1701.0% (price as of 2026-08-20)
March 14, 2019	LPLA	M	6,926	$39.48	$273,438	39,157 Direct	+21.49%	Acquired	805.5% (price as of 2026-08-20)
March 14, 2019	LPLA	M	3,528	$65.50	$231,084	42,685 Direct	+9.01%	Acquired	445.8% (price as of 2026-08-20)
March 14, 2019	LPLA	S	25,392	$74.06	$1,880,532	17,293 Direct	-59.49%	Disposed	382.7% (price as of 2026-08-20)
March 14, 2019	LPLA	M	14,938	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
March 14, 2019	LPLA	M	6,926	—	—	6,926 Direct	-50.00%	Disposed	(price as of 2026-08-20)
March 14, 2019	LPLA	M	3,528	—	—	7,054 Direct	-33.34%	Disposed	(price as of 2026-08-20)
March 13, 2019	LPLA	F	982	$74.22	$72,884	17,293 Direct	-5.37%	Disposed	381.7% (price as of 2026-08-20)
Feb. 25, 2019	LPLA	F	2,451	$77.53	$190,026	18,275 Direct	-11.83%	Disposed	361.1% (price as of 2026-08-20)
Feb. 23, 2019	LPLA	F	566	$77.04	$43,605	20,726 Direct	-2.66%	Disposed	364.0% (price as of 2026-08-20)
Feb. 4, 2019	LPLA	M	20,576	$43.74	$899,994	41,868 Direct	+96.64%	Acquired	717.3% (price as of 2026-08-20)
Feb. 4, 2019	LPLA	M	15,938	$24.38	$388,568	57,806 Direct	+38.07%	Acquired	1366.3% (price as of 2026-08-20)
Feb. 4, 2019	LPLA	M	6,926	$39.48	$273,438	64,732 Direct	+11.98%	Acquired	805.5% (price as of 2026-08-20)
Feb. 4, 2019	LPLA	S	40,340	$74.81	$3,017,835	24,392 Direct	-62.32%	Disposed	377.9% (price as of 2026-08-20)
Feb. 4, 2019	LPLA	S	3,100	$75.06	$232,686	21,292 Direct	-12.71%	Disposed	376.3% (price as of 2026-08-20)
Feb. 4, 2019	LPLA	M	20,576	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Feb. 4, 2019	LPLA	M	15,938	—	—	7,969 Direct	-66.67%	Disposed	(price as of 2026-08-20)
Feb. 4, 2019	LPLA	M	6,926	—	—	13,852 Direct	-33.33%	Disposed	(price as of 2026-08-20)
Dec. 12, 2018	LPLA	M	29,876	$19.85	$593,039	51,168 Direct	+140.32%	Acquired	1701.0% (price as of 2026-08-20)
Dec. 12, 2018	LPLA	S	29,876	$60.72	$1,814,071	21,292 Direct	-58.39%	Disposed	488.8% (price as of 2026-08-20)
Dec. 12, 2018	LPLA	M	29,876	—	—	14,938 Direct	-66.67%	Disposed	(price as of 2026-08-20)
Aug. 6, 2018	LPLA	F	1,134	$67.22	$76,227	21,292 Direct	-5.06%	Disposed	431.8% (price as of 2026-08-20)
June 13, 2018	LPLA	F	484	$70.49	$34,117	22,426 Direct	-2.11%	Disposed	407.2% (price as of 2026-08-20)
March 13, 2018	LPLA	F	960	$64.99	$62,390	22,910 Direct	-4.02%	Disposed	450.1% (price as of 2026-08-20)
Feb. 25, 2018	LPLA	F	654	$65.50	$42,837	23,870 Direct	-2.67%	Disposed	445.8% (price as of 2026-08-20)
Feb. 23, 2018	LPLA	A	3,420	—	—	24,524 Direct	+16.21%	Acquired	(price as of 2026-08-20)
Feb. 23, 2018	LPLA	A	10,582	—	—	10,582 Direct	—	Acquired	(price as of 2026-08-20)
Aug. 6, 2017	LPLA	F	1,193	$46.11	$55,009	21,104 Direct	-5.35%	Disposed	675.3% (price as of 2026-08-20)
June 13, 2017	LPLA	F	510	$42.08	$21,461	22,297 Direct	-2.24%	Disposed	749.6% (price as of 2026-08-20)
March 13, 2017	LPLA	A	5,937	—	—	22,807 Direct	+35.19%	Acquired	(price as of 2026-08-20)
March 13, 2017	LPLA	A	20,778	—	—	20,778 Direct	—	Acquired	(price as of 2026-08-20)
Feb. 25, 2017	LPLA	F	760	$39.13	$29,739	16,870 Direct	-4.31%	Disposed	813.6% (price as of 2026-08-20)
Aug. 6, 2016	LPLA	F	757	$26.72	$20,227	17,630 Direct	-4.12%	Disposed	1237.9% (price as of 2026-08-20)
June 13, 2016	LPLA	A	2,928	—	—	18,387 Direct	+18.94%	Acquired	(price as of 2026-08-20)
June 13, 2016	LPLA	A	23,907	—	—	23,907 Direct	—	Acquired	(price as of 2026-08-20)
Feb. 25, 2016	LPLA	A	5,490	—	—	12,348 Direct	+80.05%	Acquired	(price as of 2026-08-20)
Feb. 25, 2016	LPLA	A	3,111	—	—	15,459 Direct	+25.19%	Acquired	(price as of 2026-08-20)
Feb. 25, 2016	LPLA	A	44,814	—	—	44,814 Direct	—	Acquired	(price as of 2026-08-20)
Aug. 6, 2015	LPLA	A	6,858	—	—	6,858 Direct	—	Acquired	(price as of 2026-08-20)
Aug. 6, 2015	LPLA	A	20,576	—	—	20,576 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
March 14, 2019	LPLA	Option to purchase Common Stock	Common Stock (14,938)	$19.85	Feb. 25, 2026	14,938	Disposed
March 14, 2019	LPLA	Option to purchase Common Stock	Common Stock (6,926)	$39.48	March 13, 2027	6,926	Disposed
March 14, 2019	LPLA	Option to purchase Common Stock	Common Stock (3,528)	$65.50	Feb. 23, 2028	3,528	Disposed
Feb. 4, 2019	LPLA	Option to purchase Common Stock	Common Stock (20,576)	$43.74	Aug. 6, 2025	20,576	Disposed
Feb. 4, 2019	LPLA	Option to purchase Common Stock	Common Stock (15,938)	$24.38	June 13, 2026	15,938	Disposed
Feb. 4, 2019	LPLA	Option to purchase Common Stock	Common Stock (6,926)	$39.48	March 13, 2027	6,926	Disposed
Dec. 12, 2018	LPLA	Option to purchase Common Stock	Common Stock (29,876)	$19.85	Feb. 25, 2026	29,876	Disposed
Feb. 23, 2018	LPLA	Option to purchase Common Stock	Common Stock (10,582)	$65.50	Feb. 23, 2028	10,582	Acquired
March 13, 2017	LPLA	Option to purchase Common Stock	Common Stock (20,778)	$39.48	March 13, 2027	20,778	Acquired
June 13, 2016	LPLA	Option to purchase Common Stock	Common Stock (23,907)	$24.38	June 13, 2026	23,907	Acquired
Feb. 25, 2016	LPLA	Option to purchase Common Stock	Common Stock (44,814)	$19.85	Feb. 25, 2026	44,814	Acquired
Aug. 6, 2015	LPLA	Option to purchase Common Stock	Common Stock (20,576)	$43.74	Aug. 6, 2025	20,576	Acquired

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

Initial ownership (Form 3) 1 holding

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

Date	Ticker	Security	Shares	Ownership
July 6, 2015	LPLA	No securities are beneficially owned	0	Direct