LPLA Insider Transactions — Page 5
624 retained open-market purchase and sale rows from SEC Forms 3, 4 and 5, newest first. This page shows rows 401–500; provenance stays internal.
| Insider profile | Role | Date | Transaction | Shares | Price |
|---|---|---|---|---|---|
| Arnold Dan H. | President & CEO | 2018-02-26 | Sale | 4,004.0 | $65.2 |
| Hellman Marco | Director | 2018-02-22 | Sale | 1,150,000.0 | $62.12 |
| Morrissey William P. Jr. | Managing Director | 2018-02-05 | Sale | 11,703.0 | $63.09 |
| Morrissey William P. Jr. | Managing Director | 2018-02-05 | Sale | 7,697.0 | $62.38 |
| Morrissey William P. Jr. | Managing Director | 2018-02-05 | Sale | 600.0 | $60.57 |
| Kalbaugh John Andrew | Managing Director | 2018-02-05 | Sale | 2,500.0 | $63.17 |
| Kalbaugh John Andrew | Managing Director | 2018-02-05 | Sale | 7,100.0 | $62.49 |
| Kalbaugh John Andrew | Managing Director | 2018-02-05 | Sale | 400.0 | $61.16 |
| Arnold Dan H. | President & CEO | 2017-11-15 | Sale | 3,742.0 | $48.54 |
| Morrissey William P. Jr. | Managing Director | 2017-06-02 | Sale | 32,150.0 | $39.34 |
| Arnold Dan H. | President & CEO | 2017-03-14 | Sale | 9,122.0 | $39.17 |
| Arnold Dan H. | President & CEO | 2017-03-14 | Sale | 4,004.0 | $39.13 |
| Arnold Dan H. | President & CEO | 2017-03-14 | Sale | 2,302.0 | $39.03 |
| Calder Tracy | Managing Director | 2017-03-13 | Sale | 6,465.0 | $39.31 |
| Casady Mark S | Director | 2017-03-02 | Sale | 2,000.0 | $40.75 |
| Calder Tracy | Managing Director | 2017-02-27 | Sale | 10,747.0 | $39.05 |
| Kalbaugh John Andrew | MD, Divisional President NSC | 2017-02-23 | Sale | 30,000.0 | $39.73 |
| White George Burton | MD, Investor & Invstmt Solutns | 2017-02-22 | Sale | 25,000.0 | $40.14 |
| Casady Mark S | Director | 2017-02-22 | Sale | 58,628.0 | $40.4 |
| Casady Mark S | Director | 2017-02-15 | Sale | 365,213.0 | $40.76 |
| Casady Mark S | Director | 2017-02-14 | Sale | 204,471.0 | $40.65 |
| Hellman Marco | Director | 2017-02-13 | Sale | 900,000.0 | $40.0 |
| Casady Mark S | Director | 2017-02-13 | Sale | 62,640.0 | $40.84 |
| Arnold Dan H. | President | 2016-03-08 | Sale | 1,208.0 | $21.27 |
| DINH VIET D | Director | 2016-02-29 | Purchase | 4,844.0 | $20.42 |
| Arnold Dan H. | President | 2016-02-25 | Sale | 1,095.0 | $19.29 |
| Buchheister Jeffrey R. | EVP, Chief Accounting Officer | 2016-02-12 | Purchase | 100.0 | $16.4 |
| Morrissey William P. Jr. | MD, Divisional Pres. of IAS | 2015-12-14 | Sale | 25,000.0 | $42.85 |
| Buchheister Jeffrey R. | EVP, Chief Accounting Officer | 2015-12-14 | Sale | 10,688.0 | $42.59 |
| BONDERMAN DAVID | Other | 2015-12-10 | Sale | 4,319,537.0 | $43.27 |
| COULTER JAMES G | Other | 2015-12-10 | Sale | 4,319,537.0 | $43.27 |
| TPG Group Holdings (SBS) Advisors, Inc. | Other | 2015-12-10 | Sale | 4,319,537.0 | $43.27 |
| Arnold Dan H. | President | 2015-06-10 | Sale | 4,273.0 | $48.0 |
| Handelsman Sharyn | MD, Chief Compliance Officer | 2015-06-02 | Sale | 6,393.0 | $43.5 |
| Casady Mark S | Chairman & Chief Exec. Officer | 2015-05-28 | Purchase | 21,100.0 | $42.48 |
| Arnold Dan H. | Chief Financial Officer | 2015-03-02 | Sale | 3,661.0 | $45.14 |
| Arnold Dan H. | Chief Financial Officer | 2015-02-24 | Sale | 5,458.0 | $46.0 |
| Arnold Dan H. | Chief Financial Officer | 2015-02-19 | Sale | 18,542.0 | $46.15 |
| Thomas Lux | EVP, CAO | 2014-02-28 | Sale | 4,000.0 | $53.98 |
| Bruton Derek | MD, Independent Advisor Svcs | 2014-02-14 | Sale | 16,000.0 | $53.21 |
| Moore Robert J. | President & COO | 2014-02-14 | Sale | 99,993.0 | $53.29 |
| BONDERMAN DAVID | TenPercentOwner | 2014-02-13 | Sale | 3,823,076.0 | $52.0 |
| COULTER JAMES G | TenPercentOwner | 2014-02-13 | Sale | 3,823,076.0 | $52.0 |
| TPG Group Holdings (SBS) Advisors, Inc. | TenPercentOwner | 2014-02-13 | Sale | 3,823,076.0 | $52.0 |
| Moore Robert J. | President & COO | 2014-02-12 | Sale | 30,000.0 | $52.0 |
| Arnold Dan H. | Chief Financial Officer | 2014-02-12 | Sale | 70,000.0 | $52.0 |
| Putnam James S | Director | 2014-01-09 | Sale | 30,000.0 | $50.0 |
| Putnam James S | Director | 2014-01-07 | Sale | 30,000.0 | $48.0 |
| Putnam James S | Director | 2013-12-23 | Sale | 30,000.0 | $46.0 |
| Putnam James S | Director | 2013-12-10 | Sale | 11,102.0 | $44.0 |
| Putnam James S | Director | 2013-12-09 | Sale | 18,898.0 | $44.0 |
| Thomas Lux | EVP, CAO | 2013-11-14 | Sale | 1,000.0 | $42.31 |
| Putnam James S | Director | 2013-11-13 | Sale | 16,627.0 | $42.16 |
| Putnam James S | Director | 2013-11-13 | Sale | 12,868.0 | $42.12 |
| Putnam James S | Director | 2013-11-12 | Sale | 33,070.0 | $42.01 |
| Putnam James S | Director | 2013-11-12 | Sale | 17,132.0 | $42.01 |
| BONDERMAN DAVID | TenPercentOwner | 2013-11-08 | Sale | 59,000.0 | $39.68 |
| COULTER JAMES G | TenPercentOwner | 2013-11-08 | Sale | 59,000.0 | $39.68 |
| TPG Group Holdings (SBS) Advisors, Inc. | TenPercentOwner | 2013-11-08 | Sale | 59,000.0 | $39.68 |
| BONDERMAN DAVID | TenPercentOwner | 2013-11-07 | Sale | 79,029.0 | $39.78 |
| COULTER JAMES G | TenPercentOwner | 2013-11-07 | Sale | 79,029.0 | $39.78 |
| TPG Group Holdings (SBS) Advisors, Inc. | TenPercentOwner | 2013-11-07 | Sale | 79,029.0 | $39.78 |
| BONDERMAN DAVID | TenPercentOwner | 2013-11-06 | Sale | 81,502.0 | $40.61 |
| COULTER JAMES G | TenPercentOwner | 2013-11-06 | Sale | 81,502.0 | $40.61 |
| TPG Group Holdings (SBS) Advisors, Inc. | TenPercentOwner | 2013-11-06 | Sale | 81,502.0 | $40.61 |
| BONDERMAN DAVID | TenPercentOwner | 2013-11-05 | Sale | 119,148.0 | $40.72 |
| COULTER JAMES G | TenPercentOwner | 2013-11-05 | Sale | 119,148.0 | $40.72 |
| TPG Group Holdings (SBS) Advisors, Inc. | TenPercentOwner | 2013-11-05 | Sale | 119,148.0 | $40.72 |
| Putnam James S | Director | 2013-10-21 | Sale | 9,233.0 | $40.04 |
| Putnam James S | Director | 2013-10-21 | Sale | 3,359.0 | $40.01 |
| Putnam James S | Director | 2013-10-18 | Sale | 38,267.0 | $40.0 |
| Putnam James S | Director | 2013-10-18 | Sale | 26,641.0 | $40.01 |
| BONDERMAN DAVID | TenPercentOwner | 2013-09-06 | Sale | 21,848.0 | $37.58 |
| COULTER JAMES G | TenPercentOwner | 2013-09-06 | Sale | 21,848.0 | $37.58 |
| TPG Group Holdings (SBS) Advisors, Inc. | TenPercentOwner | 2013-09-06 | Sale | 21,848.0 | $37.58 |
| BONDERMAN DAVID | TenPercentOwner | 2013-09-05 | Sale | 125,865.0 | $37.57 |
| COULTER JAMES G | TenPercentOwner | 2013-09-05 | Sale | 125,865.0 | $37.57 |
| TPG Group Holdings (SBS) Advisors, Inc. | TenPercentOwner | 2013-09-05 | Sale | 125,865.0 | $37.57 |
| BONDERMAN DAVID | TenPercentOwner | 2013-09-04 | Sale | 112,524.0 | $37.0 |
| COULTER JAMES G | TenPercentOwner | 2013-09-04 | Sale | 112,524.0 | $37.0 |
| TPG Group Holdings (SBS) Advisors, Inc. | TenPercentOwner | 2013-09-04 | Sale | 112,524.0 | $37.0 |
| BONDERMAN DAVID | TenPercentOwner | 2013-09-03 | Sale | 97,830.0 | $36.88 |
| COULTER JAMES G | TenPercentOwner | 2013-09-03 | Sale | 97,830.0 | $36.88 |
| TPG Group Holdings (SBS) Advisors, Inc. | TenPercentOwner | 2013-09-03 | Sale | 97,830.0 | $36.88 |
| BONDERMAN DAVID | TenPercentOwner | 2013-08-30 | Sale | 13,050.0 | $36.94 |
| COULTER JAMES G | TenPercentOwner | 2013-08-30 | Sale | 13,050.0 | $36.94 |
| TPG Group Holdings (SBS) Advisors, Inc. | TenPercentOwner | 2013-08-30 | Sale | 13,050.0 | $36.94 |
| BONDERMAN DAVID | TenPercentOwner | 2013-08-29 | Sale | 60,960.0 | $37.47 |
| COULTER JAMES G | TenPercentOwner | 2013-08-29 | Sale | 60,960.0 | $37.47 |
| TPG Group Holdings (SBS) Advisors, Inc. | TenPercentOwner | 2013-08-29 | Sale | 60,960.0 | $37.47 |
| BONDERMAN DAVID | TenPercentOwner | 2013-06-13 | Sale | 57,818.0 | $36.67 |
| COULTER JAMES G | TenPercentOwner | 2013-06-13 | Sale | 57,818.0 | $36.67 |
| TPG Group Holdings (SBS) Advisors, Inc. | TenPercentOwner | 2013-06-13 | Sale | 57,818.0 | $36.67 |
| BONDERMAN DAVID | TenPercentOwner | 2013-06-12 | Sale | 79,908.0 | $36.63 |
| COULTER JAMES G | TenPercentOwner | 2013-06-12 | Sale | 79,908.0 | $36.63 |
| TPG Group Holdings (SBS) Advisors, Inc. | TenPercentOwner | 2013-06-12 | Sale | 79,908.0 | $36.63 |
| STIEFLER JEFFREY E | Director | 2013-06-04 | Sale | 46,942.0 | $37.18 |
| Putnam James S | Director | 2013-05-15 | Sale | 45,000.0 | $38.0 |
| Putnam James S | Director | 2013-05-15 | Sale | 30,000.0 | $38.0 |
| Putnam James S | Director | 2013-05-09 | Sale | 40,000.0 | $36.0 |