LPLA Insider Transactions — Page 6
624 retained open-market purchase and sale rows from SEC Forms 3, 4 and 5, newest first. This page shows rows 501–600; provenance stays internal.
| Insider profile | Role | Date | Transaction | Shares | Price |
|---|---|---|---|---|---|
| Putnam James S | Director | 2013-05-09 | Sale | 30,000.0 | $36.0 |
| Helliker Mark | MD, B/D Support Services | 2013-05-03 | Sale | 24,927.0 | $34.73 |
| Putnam James S | Director | 2013-04-10 | Sale | 40,000.0 | $34.01 |
| Putnam James S | Director | 2013-04-10 | Sale | 25,000.0 | $34.01 |
| STIEFLER JEFFREY E | Director | 2013-02-27 | Sale | 25,000.0 | $31.41 |
| Putnam James S | Director | 2013-02-19 | Sale | 18,207.0 | $32.67 |
| Putnam James S | Director | 2013-02-19 | Sale | 22,293.0 | $32.67 |
| Putnam James S | Director | 2013-02-15 | Sale | 21,793.0 | $32.66 |
| Putnam James S | Director | 2013-02-15 | Sale | 17,707.0 | $32.66 |
| Bruton Derek | MD, National Sales Manager | 2013-02-11 | Sale | 22,348.0 | $32.71 |
| Brown Stephanie L | MD & General Counsel | 2013-01-29 | Sale | 10,349.0 | $34.0 |
| Brown Stephanie L | MD & General Counsel | 2013-01-29 | Sale | 11,000.0 | $33.0 |
| Brown Stephanie L | MD & General Counsel | 2013-01-28 | Sale | 10,349.0 | $32.0 |
| Brown Stephanie L | MD & General Counsel | 2013-01-09 | Sale | 10,350.0 | $30.0 |
| Feeney Christopher | MD, Chief Information Officer | 2012-12-06 | Sale | 9,000.0 | $28.07 |
| Brown Stephanie L | MD & General Counsel | 2012-11-23 | Sale | 32,056.0 | $27.0 |
| Brown Stephanie L | MD & General Counsel | 2012-11-01 | Sale | 5,122.0 | $29.17 |
| Brown Stephanie L | MD & General Counsel | 2012-10-31 | Sale | 1,008.0 | $29.02 |
| Casady Mark S | Chairman & Chief Exec. Officer | 2012-08-16 | Sale | 142,662.0 | $28.63 |
| Moore Robert J. | President & COO | 2012-08-08 | Purchase | 20,000.0 | $28.42 |
| Brown Stephanie L | MD & General Counsel | 2012-06-29 | Sale | 11,000.0 | $33.83 |
| Khoury Joan D | MD, Chief Marketing Officer | 2012-05-11 | Purchase | 2,000.0 | $32.0 |
| HELLMAN & FRIEDMAN CAPITAL V LP | Director,TenPercentOwner | 2012-05-07 | Sale | 3,625.0 | $33.38 |
| Hellman & Friedman Capital Associates V, L.P. | Director,TenPercentOwner | 2012-05-07 | Sale | 3,625.0 | $33.38 |
| Hellman & Friedman Capital Partners V (Parallel), L.P. | Director,TenPercentOwner | 2012-05-07 | Sale | 3,625.0 | $33.38 |
| Hellman & Friedman Investors V, L.P. | Director,TenPercentOwner | 2012-05-07 | Sale | 3,625.0 | $33.38 |
| Hellman & Friedman LLC | Director,TenPercentOwner | 2012-05-07 | Sale | 3,625.0 | $33.38 |
| HELLMAN & FRIEDMAN CAPITAL V LP | Director,TenPercentOwner | 2012-05-07 | Sale | 872,175.0 | $33.38 |
| Hellman & Friedman Capital Associates V, L.P. | Director,TenPercentOwner | 2012-05-07 | Sale | 872,175.0 | $33.38 |
| Hellman & Friedman Capital Partners V (Parallel), L.P. | Director,TenPercentOwner | 2012-05-07 | Sale | 872,175.0 | $33.38 |
| Hellman & Friedman Investors V, L.P. | Director,TenPercentOwner | 2012-05-07 | Sale | 872,175.0 | $33.38 |
| Hellman & Friedman LLC | Director,TenPercentOwner | 2012-05-07 | Sale | 872,175.0 | $33.38 |
| HELLMAN & FRIEDMAN CAPITAL V LP | Director,TenPercentOwner | 2012-05-07 | Sale | 6,374,200.0 | $33.38 |
| Hellman & Friedman Capital Associates V, L.P. | Director,TenPercentOwner | 2012-05-07 | Sale | 6,374,200.0 | $33.38 |
| Hellman & Friedman Capital Partners V (Parallel), L.P. | Director,TenPercentOwner | 2012-05-07 | Sale | 6,374,200.0 | $33.38 |
| Hellman & Friedman Investors V, L.P. | Director,TenPercentOwner | 2012-05-07 | Sale | 6,374,200.0 | $33.38 |
| Hellman & Friedman LLC | Director,TenPercentOwner | 2012-05-07 | Sale | 6,374,200.0 | $33.38 |
| BONDERMAN DAVID | TenPercentOwner | 2012-05-07 | Purchase | 7,250,000.0 | $33.38 |
| COULTER JAMES G | TenPercentOwner | 2012-05-07 | Purchase | 7,250,000.0 | $33.38 |
| TPG Group Holdings (SBS) Advisors, Inc. | TenPercentOwner | 2012-05-07 | Purchase | 7,250,000.0 | $33.38 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-04-30 | Sale | 1,250.0 | $35.7 |
| Brown Stephanie L | MD & General Counsel | 2012-04-10 | Sale | 11,000.0 | $37.36 |
| Brown Stephanie L | MD & General Counsel | 2012-04-10 | Sale | 14,000.0 | $37.26 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-04-09 | Sale | 1,250.0 | $37.44 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-04-02 | Sale | 7,250.0 | $37.53 |
| Putnam James S | Director | 2012-03-27 | Sale | 37,544.0 | $38.01 |
| Putnam James S | Director | 2012-03-26 | Sale | 2,456.0 | $38.0 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-03-26 | Sale | 1,250.0 | $37.62 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-03-19 | Sale | 1,250.0 | $36.9 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-03-12 | Sale | 1,250.0 | $35.83 |
| Feeney Christopher | MD, Chief Information Officer | 2012-03-09 | Sale | 4,300.0 | $36.0 |
| Putnam James S | Director | 2012-03-09 | Sale | 40,000.0 | $36.0 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-03-09 | Sale | 54,000.0 | $36.0 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-03-05 | Sale | 1,250.0 | $33.75 |
| Dwyer William E III | Pres., Nat'l Sales & Mktg. | 2012-03-02 | Sale | 35,098.0 | $34.16 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-02-27 | Sale | 1,250.0 | $32.55 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-02-21 | Sale | 1,250.0 | $32.9 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-02-13 | Sale | 1,250.0 | $32.66 |
| Dwyer William E III | Pres., Nat'l Sales & Mktg. | 2012-02-09 | Sale | 35,098.0 | $32.27 |
| Casady Mark S | Chairman & Chief Exec. Officer | 2012-02-09 | Sale | 60,000.0 | $32.28 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-01-30 | Sale | 1,250.0 | $32.53 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-01-23 | Sale | 1,250.0 | $34.46 |
| Putnam James S | Director | 2012-01-19 | Sale | 18,417.0 | $34.01 |
| Stearns Esther M | President & COO | 2012-01-19 | Sale | 9,700.0 | $34.01 |
| Putnam James S | Director | 2012-01-18 | Sale | 21,583.0 | $34.0 |
| Stearns Esther M | President & COO | 2012-01-18 | Sale | 4,700.0 | $34.0 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-01-17 | Sale | 1,250.0 | $33.48 |
| Stearns Esther M | President & COO | 2012-01-12 | Sale | 14,900.0 | $33.01 |
| Stearns Esther M | President & COO | 2012-01-11 | Sale | 100.0 | $33.0 |
| Stearns Esther M | President & COO | 2012-01-10 | Sale | 15,000.0 | $32.02 |
| Stearns Esther M | President & COO | 2012-01-09 | Sale | 37,900.0 | $31.01 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-01-09 | Sale | 1,250.0 | $30.87 |
| Stearns Esther M | President & COO | 2012-01-06 | Sale | 46,500.0 | $30.9 |
| Stearns Esther M | President & COO | 2012-01-05 | Sale | 32,100.0 | $30.61 |
| Stearns Esther M | President & COO | 2012-01-04 | Sale | 24,600.0 | $30.24 |
| Stearns Esther M | President & COO | 2012-01-03 | Sale | 28,900.0 | $30.68 |
| Eaton Jonathan | MD, Custom Clearing Services | 2012-01-03 | Sale | 1,250.0 | $30.77 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-12-27 | Sale | 1,250.0 | $29.37 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-12-19 | Sale | 1,250.0 | $28.18 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-12-12 | Sale | 1,250.0 | $28.92 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-12-05 | Sale | 1,250.0 | $30.21 |
| Casady Mark S | Chairman & Chief Exec. Officer | 2011-12-01 | Sale | 984.0 | $30.0 |
| Arnold Dan H. | MD & Division President, FIS | 2011-11-30 | Sale | 56,000.0 | $30.0 |
| Casady Mark S | Chairman & Chief Exec. Officer | 2011-11-30 | Sale | 19,016.0 | $30.0 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-11-28 | Sale | 1,250.0 | $27.79 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-11-21 | Sale | 1,250.0 | $28.07 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-11-14 | Sale | 1,250.0 | $28.39 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-11-07 | Sale | 1,250.0 | $28.83 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-10-31 | Sale | 1,250.0 | $28.67 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-10-10 | Sale | 1,250.0 | $26.2 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-10-03 | Sale | 1,250.0 | $25.22 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-09-26 | Sale | 1,250.0 | $25.0 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-09-19 | Sale | 1,250.0 | $25.38 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-09-12 | Sale | 1,250.0 | $25.0 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-09-06 | Sale | 1,250.0 | $26.69 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-08-29 | Sale | 1,250.0 | $27.74 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-08-22 | Sale | 1,250.0 | $27.48 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-08-15 | Sale | 1,250.0 | $27.52 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-08-08 | Sale | 1,250.0 | $30.56 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-08-01 | Sale | 1,250.0 | $32.96 |