James S Putnam
CIK 1405298 · last filed 2026-06-08
"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.
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Disclosed Exposure
$48.56M
Companies
1
Total Filings
75
Lifetime Open-Market Net
-$22.29M
Holdings By Company
Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| LPLA | Director | 137,290 | $353.70 | $48.56M | -$22.29M | 67 | 2026-06-08 |
Recent Filings · Page 6 of 8
75 filingsInsider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2015-05-20 | LPLA | Grant (A) | +1,592 | $68.2K | EDGAR |
| 2015-05-14 | LPLA | Grant (A) | +3,185 | $130.0K | EDGAR |
| 2014-03-10 | LPLA | Grant (A) | +935 | $50.0K | EDGAR |
| 2014-01-13 | LPLA | Sell (S) | −30,000 | -$1.50M | EDGAR |
| 2014-01-09 | LPLA | Sell (S) | −30,000 | -$1.44M | EDGAR |
| 2013-12-24 | LPLA | Sell (S) | −30,000 | -$1.38M | EDGAR |
| 2013-12-11 | LPLA | Sell (S) | −30,000 | -$1.32M | EDGAR |
| 2013-11-21 | LPLA | Grant (A) | +1,183 | $0 | EDGAR |
| 2013-11-14 | LPLA | Sell (S) | −79,697 | -$3.35M | EDGAR |
| 2013-10-22 | LPLA | Sell (S) | −77,500 | -$3.10M | EDGAR |
Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.