Insider at

04

Insider transactions

05
0 buys (P) 0 sells (S) Net: $0 + 41 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

41 other filings hidden
DateTickerCodeSharesPriceValue Owned afterΔ ownA/Dvs now
March 2, 2012 LPLA S 35,098 $34.16 $1,198,948 363,912 Direct -8.80% Disposed 826.3% (price as of 2026-10-02)
Feb. 9, 2012 LPLA S 35,098 $32.27 $1,132,612 278,459 Direct -11.19% Disposed 880.6% (price as of 2026-10-02)
May 19, 2011 LPLA S 20,155 $34.93 $704,014 218,483 Direct -8.45% Disposed 805.9% (price as of 2026-10-02)
May 18, 2011 LPLA S 52,479 $34.57 $1,814,199 218,483 Direct -19.37% Disposed 815.4% (price as of 2026-10-02)
Dec. 22, 2010 LPLA P 64,000 · · 64,000 Direct · Acquired (price as of 2026-10-02)
Nov. 17, 2010 LPLA S 312,257 $30.00 $9,367,710 303,683 Direct -50.70% Disposed 954.8% (price as of 2026-10-02)
Sept. 14, 2009 LPLA P 50,000 · · 50,000 Direct · Acquired (price as of 2026-10-02)

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.

06
DateTickerSecurityUnderlying Exercise priceExpirationSharesA/D
Feb. 22, 2013 LPLA Option to Purchase Common Stock Common Stock (116,733) $31.60 Feb. 22, 2023 116,733 Acquired
May 7, 2012 LPLA Option to Purchase Common Stock Common Stock (20,000) $22.08 Sept. 14, 2019 20,000 Disposed
May 7, 2012 LPLA Option to Purchase Common Stock Common Stock (24,026) $27.80 Feb. 5, 2018 24,026 Disposed
May 7, 2012 LPLA Option to Purchase Common Stock Common Stock (603,220) $1.49 May 31, 2014 603,220 Disposed
March 6, 2012 LPLA Option to Purchase Common Stock Common Stock (64,700) $1.49 May 31, 2014 64,700 Disposed
March 5, 2012 LPLA Option to Purchase Common Stock Common Stock (530) $1.35 Nov. 30, 2013 530 Disposed
March 2, 2012 LPLA Option to Purchase Common Stock Common Stock (35,098) $1.35 Nov. 30, 2013 35,098 Disposed
Feb. 22, 2012 LPLA Restricted Stock Units Common Stock (95,149) $0.00 · 95,149 Disposed
Feb. 10, 2012 LPLA Option to Purchase Common Stock Common Stock (28,650) $1.35 Nov. 30, 2013 28,650 Disposed
Feb. 9, 2012 LPLA Option to Purchase Common Stock Common Stock (35,098) $1.35 Nov. 30, 2013 35,098 Disposed
Feb. 9, 2012 LPLA Option to Purchase Common Stock Common Stock (104,040) $32.26 Feb. 9, 2022 104,040 Acquired
May 23, 2011 LPLA Stock Option (Right to Buy) Common Stock (95,150) $1.35 Nov. 30, 2013 95,150 Acquired
May 19, 2011 LPLA Stock Option (Right to Buy) Common Stock (20,155) $1.35 Nov. 30, 2013 20,155 Acquired
May 18, 2011 LPLA Stock Option (Right to Buy) Common Stock (52,479) $1.35 Nov. 30, 2013 52,479 Acquired
Dec. 22, 2010 LPLA Option to Purchase Common Stock Common (64,000) $34.61 Dec. 22, 2020 64,000 Acquired
Nov. 17, 2010 LPLA Stock Option (Right to Buy) Common Stock (554,380) · May 2, 2013 554,380 Acquired
Nov. 17, 2010 LPLA Stock Option (Right to Buy) Common Stock (13,360) · Jan. 15, 2012 13,360 Acquired
Dec. 10, 2009 LPLA Employee Stock Option (right to buy) Common Stock (23,000) $1.07 Dec. 14, 2009 23,000 Disposed
Sept. 14, 2009 LPLA Option to purchase Common Stock Common (50,000) $22.08 Sept. 14, 2019 50,000 Acquired
Dec. 31, 2008 LPLA Restricted Stock Units [F1] Common Stock (95,149) · · 95,149 Acquired
Dec. 31, 2008 LPLA Stock Options [F1] Common Stock (101,150) $1.07 Dec. 14, 2009 101,150 Disposed
Dec. 30, 2008 LPLA Employee Stock Option (right to buy) Common Stock (25,200) $1.07 Dec. 14, 2009 25,200 Disposed
Feb. 5, 2008 LPLA Option award (right to buy) Common Stock (35,000) $27.80 Feb. 5, 2018 35,000 Acquired

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

Initial ownership (Form 3) 11 holdings

07

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

DateTickerSecuritySharesOwnership
June 29, 2007 LPLA Common Stock 18,191 Direct
June 29, 2007 LPLA Option Awards→ Common Stock (7,499) 7,499 Direct
June 29, 2007 LPLA Option Awards→ Common Stock (10,003) 10,003 Direct
June 29, 2007 LPLA Option Awards→ Common Stock (890) 890 Direct
June 29, 2007 LPLA Option Awards→ Common Stock (446) 446 Direct
June 29, 2007 LPLA Option Awards→ Common Stock (36,958) 36,958 Direct
June 29, 2007 LPLA Option Awards→ Common Stock (18,480) 18,480 Direct
June 29, 2007 LPLA Option Awards→ Common Stock (17,810) 17,810 Direct
June 29, 2007 LPLA Option Awards→ Common Stock (8,906) 8,906 Direct
June 29, 2007 LPLA Option Awards→ Common Stock (44,528) 44,528 Direct
June 29, 2007 LPLA Option Awards→ Common Stock (22,264) 22,264 Direct

Compensation (DEF 14A)

08

Matched by name from proxy statements (DEF 14A) — verify against the filing.

LPLA

President, National Sales
Fiscal yearSalaryBonusStock awards Option awardsNon-equity incentivePension changeOtherTotal
2013 $134,411 · · · · · $866,702 $2,394,858
2012 $550,123 · · · $443,750 · $10,272 $2,566,645
2010 $491,667 $625,000 · $1,142,573 · · $10,799 $2,270,039

Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.