Stephanie L Brown
CIK 1405364 · MD & General Counsel · last filed 2013-02-26
"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
$165.54M
Companies
1
Total Filings
20
Lifetime Open-Market Net
-$2.77M
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 | MD & General Counsel | 545,787 | $303.30 | $165.54M | -$2.77M | 6 | 2013-02-26 |
Recent Filings · Page 2 of 2
20 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 |
|---|---|---|---|---|---|
| 2011-11-30 | — | Gift (G) | −75,000 | -$2.14M | |
| 2011-07-07 | — | Sell (S) | −17,057 | -$597.0K | |
| 2010-12-27 | — | Mixed | −15,000 | -$519.1K | |
| 2010-11-19 | — | Sell (S) | −125,831 | -$3.77M | |
| 2010-01-05 | — | Gift (G) | −217,202 | $0 | |
| 2009-12-17 | — | Gift (G) | −40,910 | $0 | |
| 2009-09-23 | — | Exer (M) | +64,680 | $69.2K | |
| 2009-09-16 | — | Buy (P) | — | $0 | |
| 2009-03-23 | — | Other (J) | — | $0 | |
| 2008-04-03 | — | Grant (A) | — | $0 |
Showing 11–20 of 20
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Page 2 of 2
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.