Tracy Calder

Insider

First SEC filing: Feb. 1, 2016 · Latest: Feb. 1, 2016

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 Nov. 25, 2019

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 19 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

19 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Nov. 25, 2019	LPLA	M	13,181	$19.85	$261,643	21,270 Direct	+162.95%	Acquired	1771.0% (price as of 2026-08-19)
Nov. 25, 2019	LPLA	S	13,181	$91.60	$1,207,380	8,089 Direct	-61.97%	Disposed	305.4% (price as of 2026-08-19)
Nov. 25, 2019	LPLA	M	13,181	—	—	5,939 Direct	-68.94%	Disposed	(price as of 2026-08-19)
Nov. 22, 2019	LPLA	G	1,514	—	—	8,089 Direct	-15.77%	Disposed	(price as of 2026-08-19)
May 8, 2019	LPLA	S	500	$84.25	$42,125	9,589 Direct	-4.96%	Disposed	340.8% (price as of 2026-08-19)
March 13, 2019	LPLA	F	373	$74.22	$27,684	10,089 Direct	-3.57%	Disposed	400.4% (price as of 2026-08-19)
Feb. 26, 2019	LPLA	S	10,747	$77.34	$831,173	10,462 Direct	-50.67%	Disposed	380.2% (price as of 2026-08-19)
Feb. 25, 2019	LPLA	F	422	$77.53	$32,718	19,643 Direct	-2.10%	Disposed	379.0% (price as of 2026-08-19)
Feb. 25, 2019	LPLA	A	1,566	—	—	21,209 Direct	+7.97%	Acquired	(price as of 2026-08-19)
Feb. 25, 2019	LPLA	A	4,700	—	—	4,700 Direct	—	Acquired	(price as of 2026-08-19)
Feb. 23, 2019	LPLA	F	191	$77.04	$14,715	20,065 Direct	-0.94%	Disposed	382.1% (price as of 2026-08-19)
May 7, 2018	LPLA	S	7,388	$64.54	$476,822	20,256 Direct	-26.73%	Disposed	475.4% (price as of 2026-08-19)
March 13, 2018	LPLA	F	253	$64.99	$16,442	27,644 Direct	-0.91%	Disposed	471.4% (price as of 2026-08-19)
Feb. 25, 2018	LPLA	F	3,778	$65.50	$247,459	27,897 Direct	-11.93%	Disposed	467.0% (price as of 2026-08-19)
Feb. 23, 2018	LPLA	A	1,563	—	—	31,675 Direct	+5.19%	Acquired	(price as of 2026-08-19)
Feb. 23, 2018	LPLA	A	4,837	—	—	4,837 Direct	—	Acquired	(price as of 2026-08-19)
March 13, 2017	LPLA	M	9,561	$19.85	$189,786	34,165 Direct	+38.86%	Acquired	1771.0% (price as of 2026-08-19)
March 13, 2017	LPLA	S	6,465	$39.31	$254,139	27,700 Direct	-18.92%	Disposed	844.8% (price as of 2026-08-19)
March 13, 2017	LPLA	A	2,412	—	—	30,112 Direct	+8.71%	Acquired	(price as of 2026-08-19)
March 13, 2017	LPLA	M	9,561	—	—	19,120 Direct	-33.34%	Disposed	(price as of 2026-08-19)
March 13, 2017	LPLA	A	8,443	—	—	8,443 Direct	—	Acquired	(price as of 2026-08-19)
Feb. 27, 2017	LPLA	S	10,747	$39.05	$419,670	24,604 Direct	-30.40%	Disposed	851.0% (price as of 2026-08-19)
Feb. 25, 2017	LPLA	F	403	$39.13	$15,769	35,351 Direct	-1.13%	Disposed	849.1% (price as of 2026-08-19)
Feb. 25, 2016	LPLA	A	35,754	—	—	35,754 Direct	—	Acquired	(price as of 2026-08-19)
Feb. 25, 2016	LPLA	A	28,681	—	—	28,681 Direct	—	Acquired	(price as of 2026-08-19)

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
Nov. 25, 2019	LPLA	Option to purchase Common Stock	Common Stock (13,181)	$19.85	Feb. 25, 2026	13,181	Disposed
Feb. 25, 2019	LPLA	Option to purchase Common Stock	Common Stock (4,700)	$77.53	Feb. 25, 2029	4,700	Acquired
Feb. 23, 2018	LPLA	Option to purchase Common Stock	Common Stock (4,837)	$65.50	Feb. 23, 2028	4,837	Acquired
March 13, 2017	LPLA	Option to purchase Common Stock	Common Stock (9,561)	$19.85	Feb. 25, 2026	9,561	Disposed
March 13, 2017	LPLA	Option to purchase Common Stock	Common Stock (8,443)	$39.48	March 13, 2027	8,443	Acquired
Feb. 25, 2016	LPLA	Option to purchase Common Stock	Common Stock (28,681)	$19.85	Feb. 25, 2026	28,681	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
Feb. 1, 2016	LPLA	No securities are beneficially owned	0	Direct