James S. Putnam

CIK: 0001405298

Transaction Breakdown

Open Market Buys (P)0 (0.0%)

High conviction signal

Open Market Sales (S)0 (0.0%)

Position reduction

Option Exercises (M)0 (0.0%)

Derivative conversions

Awards (A)10 (83.3%)

Compensation grants

Other (G, F, J, C, D, …)2 (16.7%)

Gifts, tax withholding, conversions, dispositions to the issuer and other codes

Companies & Roles (1)

LPLA

LPL Financial Holdings Inc.

Director

Discretionary Trading P&L

Holdings

Transaction History (12 total)

LPLA
LPL Financial Holdings Inc.
Aug 28, 2026
Award(A)
Direct
7 shares-
LPLA
LPL Financial Holdings Inc.
Aug 3, 2026
Gift(G)
Direct
2K shares-
LPLA
LPL Financial Holdings Inc.
Jun 4, 2026
Award(A)
Direct
10 shares-
LPLA
LPL Financial Holdings Inc.
May 15, 2026
Award(A)
Direct
712 shares-
LPLA
LPL Financial Holdings Inc.
May 7, 2026
Gift(G)
Direct
100 shares-
LPLA
LPL Financial Holdings Inc.
Mar 24, 2026
Award(A)
Direct
10 shares-
LPLA
LPL Financial Holdings Inc.
Dec 1, 2025
Award(A)
Direct
7 shares-
LPLA
LPL Financial Holdings Inc.
Aug 29, 2025
Award(A)
Direct
7 shares-
LPLA
LPL Financial Holdings Inc.
Jun 12, 2025
Award(A)
Direct
6 shares-
LPLA
LPL Financial Holdings Inc.
May 23, 2025
Award(A)
Direct
602 shares-
LPLA
LPL Financial Holdings Inc.
Mar 25, 2025
Award(A)
Direct
8 shares-
LPLA
LPL Financial Holdings Inc.
Dec 2, 2024
Award(A)
Direct
8 shares-

		Type	Shares	Price		Ownership
Aug 28, 2026	LPLA LPL Financial Holdings Inc.	Award(A)	7	-	$0	Direct
Aug 3, 2026	LPLA LPL Financial Holdings Inc.	Gift(G)	2,000	-	$0	Direct
Jun 4, 2026	LPLA LPL Financial Holdings Inc.	Award(A)	10	-	$0	Direct
May 15, 2026	LPLA LPL Financial Holdings Inc.	Award(A)	712	-	$0	Direct
May 7, 2026	LPLA LPL Financial Holdings Inc.	Gift(G)	100	-	$0	Direct
Mar 24, 2026	LPLA LPL Financial Holdings Inc.	Award(A)	10	-	$0	Direct
Dec 1, 2025	LPLA LPL Financial Holdings Inc.	Award(A)	7	-	-	Direct
Aug 29, 2025	LPLA LPL Financial Holdings Inc.	Award(A)	7	-	-	Direct
Jun 12, 2025	LPLA LPL Financial Holdings Inc.	Award(A)	6	-	-	Direct
May 23, 2025	LPLA LPL Financial Holdings Inc.	Award(A)	602	-	-	Direct
Mar 25, 2025	LPLA LPL Financial Holdings Inc.	Award(A)	8	-	-	Direct
Dec 2, 2024	LPLA LPL Financial Holdings Inc.	Award(A)	8	-	$0	Direct

1-12 of 12 transactions

About Putnam James S

Putnam James S (SEC CIK 0001405298) files insider reports with the SEC as Director of LPL Financial Holdings Inc. (LPLA).

Signal8 holds 12 ownership filings by Putnam James S, all Form 4s, filed between Dec 4, 2024 and Sep 1, 2026. Those filings report 12 transactions, from Dec 2, 2024 to Aug 28, 2026. Signal8's Form 4 history starts in Sep 2024.

The business address on Putnam James S's filings is in SAN DIEGO, CA.

Recent filings by Putnam James S

Aug 28, 2026: Grant or award of LPLA shares (Form 4, code A).
Aug 3, 2026: Gift of LPLA shares (Form 4, code G).
Jun 4, 2026: Grant or award of LPLA shares (Form 4, code A).
May 15, 2026: Grant or award of LPLA shares (Form 4, code A).
May 7, 2026: Gift of LPLA shares (Form 4, code G).

Other insiders filing for LPL Financial Holdings Inc. (LPLA)

Reeping Katharine, Principal Accounting Officer
Field Emily, Group Managing Director
Thomas Corey E., Director
SCHIFTER RICHARD P, Director
Mnookin Allison, Director
Glavin William Francis Jr, Director

How to read Form 4 transaction codes