LPLA Insider Transactions — Page 7
624 retained open-market purchase and sale rows from SEC Forms 3, 4 and 5, newest first. This page shows rows 601–624; provenance stays internal.
| Insider profile | Role | Date | Transaction | Shares | Price |
|---|---|---|---|---|---|
| Arnold Dan H. | MD & Division President, FIS | 2011-08-01 | Sale | 14,000.0 | $32.73 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-07-11 | Sale | 1,250.0 | $33.46 |
| Brown Stephanie L | MD & General Counsel | 2011-07-06 | Sale | 17,057.0 | $35.0 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-07-05 | Sale | 1,250.0 | $34.21 |
| Arnold Dan H. | MD & Division President, FIS | 2011-06-28 | Sale | 14,000.0 | $33.81 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-06-27 | Sale | 1,250.0 | $33.14 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-06-20 | Sale | 1,250.0 | $34.49 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-06-13 | Sale | 1,250.0 | $34.65 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-06-06 | Sale | 1,250.0 | $35.84 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-05-31 | Sale | 1,250.0 | $35.52 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-05-23 | Sale | 1,250.0 | $34.07 |
| Dwyer William E III | Pres., Nat'l Sales & Mktg. | 2011-05-19 | Sale | 20,155.0 | $34.93 |
| Eaton Jonathan | MD, Custom Clearing Services | 2011-05-18 | Sale | 1,250.0 | $33.97 |
| Dwyer William E III | Pres., Nat'l Sales & Mktg. | 2011-05-18 | Sale | 52,479.0 | $34.57 |
| Stearns Esther M | President & COO | 2011-05-02 | Sale | 214,400.0 | $34.85 |
| Putnam James S | Director | 2010-11-17 | Sale | 86,970.0 | $30.0 |
| Putnam James S | Director | 2010-11-17 | Sale | 407,327.0 | $30.0 |
| Stearns Esther M | President & COO | 2010-11-17 | Sale | 1,302,444.0 | $30.0 |
| Eaton Jonathan | MD, Custom Clearing Services | 2010-11-17 | Sale | 484,074.0 | $30.0 |
| Dwyer William E III | MD & Pres., Nat'l Sales&Mktg | 2010-11-17 | Sale | 312,257.0 | $30.0 |
| Casady Mark S | Chairman & Chief Exec. Officer | 2010-11-17 | Sale | 2,148,916.0 | $30.0 |
| Brown Stephanie L | MD & General Counsel | 2010-11-17 | Sale | 125,831.0 | $30.0 |
| Arnold Dan H. | MD & Division President, FIS | 2010-11-17 | Sale | 58,356.0 | $30.0 |
| Abood Denise M. | MD, Human Capital | 2010-11-17 | Sale | 6,906.0 | $30.0 |