| Symbol | Company | Owner | Relationship | Date | Transaction | Cost | # Shares | Value ($) | Total Shares | Filing | |
|---|---|---|---|---|---|---|---|---|---|---|---|
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | May 18, 2015 | Option Exercise | $42.85 | 1,592 | 68,217 | 111,698 | May 20, 2015, 06:06 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | May 12, 2015 | Option Exercise | $40.81 | 3,185 | 129,980 | 110,106 | May 14, 2015, 05:55 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | May 07, 2014 | Option Exercise | $46.89 | 1,706 | 79,994 | 106,921 | May 09, 2014, 04:42 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Mar 06, 2014 | Option Exercise | $53.47 | 935 | 49,994 | 105,215 | Mar 10, 2014, 07:12 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Jan 09, 2014 | Sale | $50.00 | 30,000 | 1,500,000 | 104,280 | Jan 13, 2014, 04:40 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Jan 07, 2014 | Sale | $48.00 | 30,000 | 1,440,000 | 134,280 | Jan 09, 2014, 04:28 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Dec 23, 2013 | Sale | $46.00 | 30,000 | 1,380,000 | 164,280 | Dec 24, 2013, 04:10 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Dec 10, 2013 | Sale | $44.00 | 11,102 | 488,488 | 194,280 | Dec 11, 2013, 05:29 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Dec 09, 2013 | Sale | $44.00 | 18,898 | 831,512 | 205,382 | Dec 11, 2013, 05:29 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Nov 12, 2013 | Sale | $42.01 | 17,132 | 719,715 | 235,965 | Nov 14, 2013, 04:52 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Nov 12, 2013 | Sale | $42.01 | 33,070 | 1,389,271 | 16,627 | Nov 14, 2013, 04:52 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Nov 13, 2013 | Sale | $42.12 | 12,868 | 542,000 | 223,097 | Nov 14, 2013, 04:52 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Nov 13, 2013 | Sale | $42.16 | 16,627 | 700,994 | 0 | Nov 14, 2013, 04:52 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Oct 18, 2013 | Sale | $40.01 | 26,641 | 1,065,906 | 256,456 | Oct 22, 2013, 04:35 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Oct 18, 2013 | Sale | $40.00 | 38,267 | 1,530,680 | 58,930 | Oct 22, 2013, 04:35 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Oct 21, 2013 | Sale | $40.01 | 3,359 | 134,394 | 253,097 | Oct 22, 2013, 04:35 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Oct 21, 2013 | Sale | $40.04 | 9,233 | 369,689 | 49,697 | Oct 22, 2013, 04:35 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | May 15, 2013 | Sale | $38.00 | 30,000 | 1,140,000 | 283,097 | May 17, 2013, 04:28 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | May 15, 2013 | Sale | $38.00 | 45,000 | 1,710,000 | 97,197 | May 17, 2013, 04:28 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | May 09, 2013 | Sale | $36.00 | 30,000 | 1,080,000 | 313,097 | May 13, 2013, 05:29 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | May 09, 2013 | Sale | $36.00 | 40,000 | 1,440,000 | 142,197 | May 13, 2013, 05:29 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Apr 10, 2013 | Sale | $34.01 | 25,000 | 850,250 | 343,097 | Apr 12, 2013, 04:06 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Apr 10, 2013 | Sale | $34.01 | 40,000 | 1,360,400 | 182,197 | Apr 12, 2013, 04:06 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Feb 19, 2013 | Sale | $32.67 | 22,293 | 728,312 | 366,515 | Feb 21, 2013, 05:31 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Feb 19, 2013 | Sale | $32.67 | 18,207 | 594,823 | 222,197 | Feb 21, 2013, 05:31 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Feb 15, 2013 | Sale | $32.66 | 21,793 | 711,759 | 240,404 | Feb 19, 2013, 05:11 PM | |
| LPLA | LPL Financial Holdings Inc. | Putnam James S | Director | Feb 15, 2013 | Sale | $32.66 | 17,707 | 578,311 | 388,808 | Feb 19, 2013, 05:11 PM | |
| LPLA | LPL Investment Holdings Inc. | Putnam James S | Director | Mar 26, 2012 | Sale | $38.00 | 2,456 | 93,328 | 299,741 | Mar 27, 2012, 09:38 PM | |
| LPLA | LPL Investment Holdings Inc. | Putnam James S | Director | Mar 27, 2012 | Sale | $38.01 | 37,544 | 1,427,047 | 262,197 | Mar 27, 2012, 09:38 PM | |
| LPLA | LPL Investment Holdings Inc. | Putnam James S | Director | Mar 09, 2012 | Sale | $36.00 | 40,000 | 1,440,000 | 302,197 | Mar 13, 2012, 05:11 PM | |
| LPLA | LPL Investment Holdings Inc. | Putnam James S | Director | Feb 22, 2012 | Option Exercise | $32.60 | 39,594 | 1,290,764 | 342,197 | Feb 24, 2012, 04:20 PM | |
| LPLA | LPL Investment Holdings Inc. | Putnam James S | Director | Jan 19, 2012 | Sale | $34.01 | 18,417 | 626,362 | 287,535 | Jan 20, 2012, 04:11 PM | |
| LPLA | LPL Investment Holdings Inc. | Putnam James S | Director | Jan 18, 2012 | Sale | $34.00 | 21,583 | 733,822 | 305,952 | Jan 20, 2012, 04:11 PM | |
| LPLA | LPL Investment Holdings Inc. | Putnam James S | Director | Nov 17, 2010 | Sale | $30.00 | 86,970 | 2,609,100 | 400,000 | Nov 19, 2010, 09:44 PM | |
| LPLA | LPL Investment Holdings Inc. | Putnam James S | Director | Nov 17, 2010 | Sale | $30.00 | 86,970 | 2,609,100 | 400,000 | Nov 19, 2010, 09:44 PM | |
| LPLA | LPL Investment Holdings Inc. | Putnam James S | Director | Nov 17, 2010 | Option Exercise | $11.68 | 1,142,027 | 13,339,557 | 734,700 | Nov 19, 2010, 09:44 PM |
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