SEC CIK 1405298
Putnam James S
Reported ownership across 1 company, sourced from SEC Form 4 filings and updated daily.
Current Positions
| Company | Shares Owned | As Of |
|---|---|---|
| LPLAview stock → | 135,297.5 | 2026-08-28 |
Position History — LPLA
Reported shares owned immediately after each Form 4 transaction, over time.
Recent Filings — LPLA
| Date | Activity | Shares | Price | Owned After |
|---|---|---|---|---|
| 2026-08-28 | Grant / award | 7 | $0.00 | 135,297.5 |
| 2026-08-03 | Gift | 2,000 | $0.00 | 135,290.5 |
| 2026-06-04 | Grant / award | 10 | $0.00 | 137,290.5 |
| 2026-05-15 | Grant / award | 712 | $0.00 | 137,280.5 |
| 2026-05-07 | Gift | 100 | $0.00 | 136,568.5 |
| 2026-03-24 | Grant / award | 10 | $0.00 | 136,668.5 |
| 2025-12-01 | Grant / award | 7 | $0.00 | 136,658.5 |
| 2025-08-29 | Grant / award | 7 | $0.00 | 136,651.5 |
| 2025-06-12 | Grant / award | 6 | $0.00 | 136,644.5 |
| 2025-05-23 | Grant / award | 602 | $0.00 | 136,638.5 |
| 2025-03-25 | Grant / award | 8 | $0.00 | 136,036.5 |
| 2024-12-02 | Grant / award | 8 | $0.00 | 136,028.5 |
| 2024-08-23 | Grant / award | 16 | $0.00 | 136,020.5 |
| 2024-06-04 | Grant / award | 10 | $0.00 | 136,004.5 |
| 2024-05-10 | Grant / award | 699 | $0.00 | 135,994.5 |
| 2024-03-26 | Grant / award | 12 | $0.00 | 135,295.5 |
| 2023-11-27 | Grant / award | 1 | $0.00 | 135,269.5 |
| 2023-11-27 | Grant / award | 14 | $0.00 | 135,283.5 |
| 2023-08-25 | Grant / award | 1 | $0.00 | 135,254.5 |
| 2023-08-25 | Grant / award | 14 | $0.00 | 135,268.5 |
| 2023-06-01 | Grant / award | 1 | $0.00 | 135,236.5 |
| 2023-06-01 | Grant / award | 17 | $0.00 | 135,253.5 |
| 2023-05-12 | Grant / award | 506 | $0.00 | 135,235.5 |
| 2023-05-12 | Grant / award | 784 | $0.00 | 134,729.5 |
| 2023-03-28 | Grant / award | 16 | $0.00 | 133,945.5 |
| 2023-03-28 | Grant / award | 1 | $0.00 | 133,929.5 |
| 2022-11-28 | Grant / award | 10 | $0.00 | 133,928.5 |
| 2022-08-31 | Grant / award | 12 | $0.00 | 133,918.5 |
| 2022-06-24 | Grant / award | 1 | $0.00 | 133,893.5 |
| 2022-06-24 | Grant / award | 13 | $0.00 | 133,906.5 |
| 2022-05-19 | Grant / award | 525 | $0.00 | 133,892.5 |
| 2022-05-19 | Grant / award | 814 | $0.00 | 133,367.5 |
| 2022-03-29 | Grant / award | 1 | $0.00 | 132,540.5 |
| 2022-03-29 | Grant / award | 13 | $0.00 | 132,553.5 |
| 2021-11-29 | Grant / award | 15 | $0.00 | 132,539.5 |
| 2021-11-29 | Grant / award | 1 | $0.00 | 132,524.5 |
| 2021-08-27 | Grant / award | 1 | $0.00 | 132,506.5 |
| 2021-08-27 | Grant / award | 17 | $0.00 | 132,523.5 |
| 2021-06-07 | Grant / award | 1 | $0.00 | 132,488.5 |
| 2021-06-07 | Grant / award | 17 | $0.00 | 132,505.5 |
| 2021-05-06 | Grant / award | 1,051 | $0.00 | 132,487.5 |
| 2021-03-30 | Grant / award | 17 | $0.00 | 131,436.5 |
| 2020-11-30 | Grant / award | 29 | $0.00 | 131,419.5 |
| 2020-08-28 | Grant / award | 32 | $0.00 | 131,390.5 |
| 2020-06-12 | Grant / award | 32 | $0.00 | 131,358.5 |
| 2020-05-07 | Grant / award | 2,780 | $0.00 | 129,891.5 |
| 2020-05-07 | Grant / award | 1,435 | $0.00 | 131,326.5 |
| 2020-03-31 | Grant / award | 48 | $0.00 | 127,111.5 |
| 2019-11-21 | Grant / award | 29 | $0.00 | 127,063.5 |
| 2019-08-23 | Grant / award | 35 | $0.00 | 127,034.5 |
| 2019-06-03 | Grant / award | 32 | $0.00 | 126,999.5 |
| 2019-05-09 | Grant / award | 2,074 | $0.00 | 126,967.5 |
| 2019-03-29 | Grant / award | 36 | $0.00 | 124,893.5 |
| 2018-11-26 | Grant / award | 40 | $0.00 | 124,857.5 |
| 2018-08-23 | Grant / award | 38 | $0.00 | 124,817.5 |
| 2018-06-01 | Grant / award | 36 | $0.00 | 124,779.5 |
| 2018-05-18 | Grant / award | 2,463 | $0.00 | 124,743.5 |
| 2018-03-23 | Grant / award | 30 | $0.00 | 122,280.5 |
| 2018-03-23 | Grant / award | 13 | $0.00 | 122,250.5 |
| 2017-11-27 | Grant / award | 16 | $0.00 | 122,203.5 |
| 2017-11-27 | Grant / award | 34 | $0.00 | 122,237.5 |
| 2017-08-24 | Grant / award | 17 | $0.00 | 122,149.5 |
| 2017-08-24 | Grant / award | 38 | $0.00 | 122,187.5 |
| 2017-05-25 | Grant / award | 33 | $0.00 | 122,132.5 |
| 2017-05-18 | Grant / award | 1,968 | $0.00 | 122,099.5 |
| 2017-05-18 | Grant / award | 3,199 | $0.00 | 120,131.5 |
| 2017-03-24 | Grant / award | 11 | $0.00 | 116,932.5 |
| 2017-03-24 | Grant / award | 22 | $0.00 | 116,921.5 |
| 2016-12-14 | Grant / award | 1,734 | $0.00 | 116,899.5 |
| 2016-12-14 | Grant / award | 3,468 | $0.00 | 115,165.5 |
| 2015-05-18 | Grant / award | 1,592 | $42.85 | 111,697.5 |
| 2015-05-12 | Grant / award | 3,185 | $40.81 | 110,105.5 |
| 2014-05-07 | Grant / award | 1,706 | $46.89 | 106,920.5 |
| 2014-03-06 | Grant / award | 935 | $53.47 | 105,214.5 |
| 2014-01-09 | Open-market sale | 30,000 | $50.00 | 104,279.5 |
| 2014-01-07 | Open-market sale | 30,000 | $48.00 | 134,279.5 |
| 2013-12-23 | Open-market sale | 30,000 | $46.00 | 164,279.5 |
| 2013-12-10 | Open-market sale | 11,102 | $44.00 | 194,279.5 |
| 2013-12-09 | Open-market sale | 18,898 | $44.00 | 205,381.5 |
| 2013-11-19 | Grant / award | 1,183 | $0.00 | 224,279.5 |
| 2013-11-13 | Open-market sale | 12,868 | $42.12 | 223,096.5 |
| 2013-11-13 | Open-market sale | 16,627 | $42.16 | 0 |
| 2013-11-12 | Open-market sale | 33,070 | $42.01 | 16,627 |
| 2013-11-12 | Open-market sale | 17,132 | $42.01 | 235,964.5 |
| 2013-10-21 | Open-market sale | 3,359 | $40.01 | 253,096.5 |
| 2013-10-21 | Open-market sale | 9,233 | $40.04 | 49,697 |
| 2013-10-18 | Open-market sale | 38,267 | $40.00 | 58,930 |
| 2013-10-18 | Open-market sale | 26,641 | $40.01 | 256,455.5 |
| 2013-05-15 | Open-market sale | 45,000 | $38.00 | 97,197 |
| 2013-05-15 | Open-market sale | 30,000 | $38.00 | 283,096.5 |
| 2013-05-09 | Open-market sale | 30,000 | $36.00 | 313,096.5 |
| 2013-05-09 | Open-market sale | 40,000 | $36.00 | 142,197 |
| 2013-04-10 | Open-market sale | 40,000 | $34.01 | 182,197 |
| 2013-04-10 | Open-market sale | 25,000 | $34.01 | 343,096.5 |
| 2013-02-22 | Grant / award | 1,582 | $0.00 | 368,096.5 |
| 2013-02-19 | Open-market sale | 22,293 | $32.67 | 366,514.5 |
| 2013-02-19 | Open-market sale | 18,207 | $32.67 | 222,197 |
| 2013-02-15 | Open-market sale | 21,793 | $32.66 | 240,404 |
| 2013-02-15 | Open-market sale | 17,707 | $32.66 | 388,807.5 |
| 2012-11-08 | Grant / award | 1,785 | $0.00 | 406,514.5 |
| 2012-03-27 | Open-market sale | 37,544 | $38.01 | 262,197 |
| 2012-03-26 | Open-market sale | 2,456 | $38.00 | 299,741 |
| 2012-03-09 | Open-market sale | 40,000 | $36.00 | 302,197 |
| 2012-02-22 | Option exercise (derivative) | 94,256 | $0.00 | 0 |
| 2012-02-22 | Tax withholding | 39,594 | $32.60 | 342,197 |
| 2012-02-22 | Option exercise | 94,256 | $0.00 | 381,791 |
| 2012-02-09 | Grant / award | 1,550 | $0.00 | 404,729.5 |
| 2012-01-19 | Open-market sale | 18,417 | $34.01 | 287,535 |
| 2012-01-18 | Open-market sale | 21,583 | $34.00 | 305,952 |
| 2011-12-01 | Grant / award | 1,667 | $0.00 | 403,179.5 |
| 2011-02-16 | Grant / award | 1,513 | $0.00 | 401,512.5 |
| 2010-11-17 | Option exercise (derivative) | 534,330 | $0.00 | 0 |
| 2010-11-17 | Option exercise | 534,330 | $1.49 | 734,700 |
| 2010-11-17 | Option exercise | 100,190 | $1.35 | 200,370 |
| 2010-11-17 | Open-market sale | 86,970 | $30.00 | 399,999.5 |
| 2010-11-17 | Open-market sale | 407,327 | $30.00 | 327,373 |
| 2010-11-17 | Option exercise | 100,180 | $1.88 | 100,180 |
| 2007-07-02 | — | — | — | 48,696.95 |
Source: SEC EDGAR Form 4 filings. For informational purposes only — not investment advice.