Edward C Bernard
CIK 1203065 · View on SEC EDGAR ↗
Insider
First SEC filing: June 8, 2026 · Latest: June 8, 2026
On this page
- Insider at Companies where this person is a reporting insider.
- Insider transactions Every share this person bought or sold, from Form 4 filings.
- Derivatives Options and other derivative holdings reported by this person.
- Initial holdings The stakes this person held when they first started reporting.
- Compensation Executive pay disclosed in company proxy statements.
Insider at
Insider transactions
0 buys (P)
0 sells (S)
Net:
$0
+ 100 non-open-market transactions below
last 12 months, based on the transactions shown below
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
No open-market trades on record; showing all filings.
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| June 4, 2026 | LPLA | A | 4 | — | — | 16,259 | — | — | (price as of 2026-08-20) |
| Aug. 29, 2025 | LPLA | A | 3 | — | — | 15,188 Direct | +0.02% | Acquired | (price as of 2026-08-20) |
| June 12, 2025 | LPLA | A | 3 | — | — | 15,185 Direct | +0.02% | Acquired | (price as of 2026-08-20) |
| May 23, 2025 | LPLA | A | 602 | — | — | 14,874 Direct | +4.22% | Acquired | (price as of 2026-08-20) |
| May 23, 2025 | LPLA | A | 308 | — | — | 15,182 Direct | +2.07% | Acquired | (price as of 2026-08-20) |
| March 25, 2025 | LPLA | A | 3 | — | — | 14,272 Direct | +0.02% | Acquired | (price as of 2026-08-20) |
| Dec. 2, 2024 | LPLA | A | 3 | — | — | 14,269 Direct | +0.02% | Acquired | (price as of 2026-08-20) |
| Aug. 23, 2024 | LPLA | A | 7 | — | — | 14,266 Direct | +0.05% | Acquired | (price as of 2026-08-20) |
| June 4, 2024 | LPLA | A | 5 | — | — | 14,259 Direct | +0.04% | Acquired | (price as of 2026-08-20) |
| May 10, 2024 | LPLA | A | 699 | — | — | 14,254 Direct | +5.16% | Acquired | (price as of 2026-08-20) |
| March 26, 2024 | LPLA | A | 5 | — | — | 13,555 Direct | +0.04% | Acquired | (price as of 2026-08-20) |
| Nov. 27, 2023 | LPLA | A | 1 | — | — | 13,544 Direct | +0.01% | Acquired | (price as of 2026-08-20) |
| Nov. 27, 2023 | LPLA | A | 6 | — | — | 13,550 Direct | +0.04% | Acquired | (price as of 2026-08-20) |
| Aug. 25, 2023 | LPLA | A | 1 | — | — | 13,537 Direct | +0.01% | Acquired | (price as of 2026-08-20) |
| Aug. 25, 2023 | LPLA | A | 6 | — | — | 13,543 Direct | +0.04% | Acquired | (price as of 2026-08-20) |
| June 1, 2023 | LPLA | A | 1 | — | — | 13,528 Direct | +0.01% | Acquired | (price as of 2026-08-20) |
| June 1, 2023 | LPLA | A | 8 | — | — | 13,536 Direct | +0.06% | Acquired | (price as of 2026-08-20) |
| May 12, 2023 | LPLA | A | 784 | — | — | 13,021 Direct | +6.41% | Acquired | (price as of 2026-08-20) |
| May 12, 2023 | LPLA | A | 506 | — | — | 13,527 Direct | +3.89% | Acquired | (price as of 2026-08-20) |
| March 28, 2023 | LPLA | A | 1 | — | — | 12,230 Direct | +0.01% | Acquired | (price as of 2026-08-20) |
| March 28, 2023 | LPLA | A | 7 | — | — | 12,237 Direct | +0.06% | Acquired | (price as of 2026-08-20) |
| Nov. 28, 2022 | LPLA | A | 5 | — | — | 12,229 Direct | +0.04% | Acquired | (price as of 2026-08-20) |
| Aug. 31, 2022 | LPLA | A | 5 | — | — | 12,224 Direct | +0.04% | Acquired | (price as of 2026-08-20) |
| June 24, 2022 | LPLA | A | 1 | — | — | 12,214 Direct | +0.01% | Acquired | (price as of 2026-08-20) |
| June 24, 2022 | LPLA | A | 5 | — | — | 12,219 Direct | +0.04% | Acquired | (price as of 2026-08-20) |
| May 19, 2022 | LPLA | A | 814 | — | — | 11,688 Direct | +7.49% | Acquired | (price as of 2026-08-20) |
| May 19, 2022 | LPLA | A | 525 | — | — | 12,213 Direct | +4.49% | Acquired | (price as of 2026-08-20) |
| March 29, 2022 | LPLA | A | 1 | — | — | 10,870 Direct | +0.01% | Acquired | (price as of 2026-08-20) |
| March 29, 2022 | LPLA | A | 4 | — | — | 10,874 Direct | +0.04% | Acquired | (price as of 2026-08-20) |
| Nov. 29, 2021 | LPLA | A | 1 | — | — | 10,863 Direct | +0.01% | Acquired | (price as of 2026-08-20) |
| Nov. 29, 2021 | LPLA | A | 6 | — | — | 10,869 Direct | +0.06% | Acquired | (price as of 2026-08-20) |
| Aug. 27, 2021 | LPLA | A | 1 | — | — | 10,856 Direct | +0.01% | Acquired | (price as of 2026-08-20) |
| Aug. 27, 2021 | LPLA | A | 6 | — | — | 10,862 Direct | +0.06% | Acquired | (price as of 2026-08-20) |
| June 7, 2021 | LPLA | A | 1 | — | — | 10,849 Direct | +0.01% | Acquired | (price as of 2026-08-20) |
| June 7, 2021 | LPLA | A | 6 | — | — | 10,855 Direct | +0.06% | Acquired | (price as of 2026-08-20) |
| May 6, 2021 | LPLA | A | 1,051 | — | — | 10,306 Direct | +11.36% | Acquired | (price as of 2026-08-20) |
| May 6, 2021 | LPLA | A | 542 | — | — | 10,848 Direct | +5.26% | Acquired | (price as of 2026-08-20) |
| March 30, 2021 | LPLA | A | 4 | — | — | 9,253 Direct | +0.04% | Acquired | (price as of 2026-08-20) |
| March 30, 2021 | LPLA | A | 2 | — | — | 9,255 Direct | +0.02% | Acquired | (price as of 2026-08-20) |
| Nov. 30, 2020 | LPLA | A | 7 | — | — | 9,246 Direct | +0.08% | Acquired | (price as of 2026-08-20) |
| Nov. 30, 2020 | LPLA | A | 3 | — | — | 9,249 Direct | +0.03% | Acquired | (price as of 2026-08-20) |
| Aug. 28, 2020 | LPLA | A | 8 | — | — | 9,235 Direct | +0.09% | Acquired | (price as of 2026-08-20) |
| Aug. 28, 2020 | LPLA | A | 4 | — | — | 9,239 Direct | +0.04% | Acquired | (price as of 2026-08-20) |
| June 12, 2020 | LPLA | A | 8 | — | — | 9,223 Direct | +0.09% | Acquired | (price as of 2026-08-20) |
| June 12, 2020 | LPLA | A | 4 | — | — | 9,227 Direct | +0.04% | Acquired | (price as of 2026-08-20) |
| May 7, 2020 | LPLA | A | 2,780 | — | — | 7,780 Direct | +55.60% | Acquired | (price as of 2026-08-20) |
| May 7, 2020 | LPLA | A | 1,435 | — | — | 9,215 Direct | +18.44% | Acquired | (price as of 2026-08-20) |
| Dec. 19, 2018 | TROW | G | 24,050 | — | — | 635,814 Direct | -3.64% | Disposed | (price as of 2026-08-20) |
| Dec. 18, 2018 | TROW | G | 2,925 | — | — | 659,864 Direct | -0.44% | Disposed | (price as of 2026-08-20) |
| Dec. 10, 2018 | TROW | F | 4,669 | $92.45 | $431,649 | 662,789 Direct | -0.70% | Disposed | 21.7% (price as of 2026-08-20) |
| July 31, 2018 | TROW | A | 149 | $118.49 | $17,655 | 667,458 Direct | +0.02% | Acquired | -5.0% (price as of 2026-08-20) |
| July 27, 2018 | TROW | G | 815 | — | — | 667,309 Direct | -0.12% | Disposed | (price as of 2026-08-20) |
| June 20, 2018 | TROW | G | 390 | — | — | 668,124 Direct | -0.06% | Disposed | (price as of 2026-08-20) |
| June 20, 2018 | TROW | G | 1,205 | — | — | 667,309 Direct | -0.18% | Disposed | (price as of 2026-08-20) |
| June 20, 2018 | TROW | A | 14 | $121.88 | $1,706 | 668,514 Direct | 0.00% | Acquired | -7.7% (price as of 2026-08-20) |
| May 22, 2018 | TROW | G | 4,940 | — | — | 668,499 Direct | -0.73% | Disposed | (price as of 2026-08-20) |
| May 18, 2018 | TROW | M | 50,569 | — | — | 0 Direct | -100.00% | Disposed | (price as of 2026-08-20) |
| May 18, 2018 | TROW | A | 282 | $106.57 | $30,053 | 673,439 Direct | +0.04% | Acquired | 5.6% (price as of 2026-08-20) |
| May 18, 2018 | TROW | F | 38,993 | $120.59 | $4,702,166 | 673,157 Direct | -5.48% | Disposed | -6.7% (price as of 2026-08-20) |
| May 18, 2018 | TROW | M | 50,569 | $67.56 | $3,416,442 | 712,150 Direct | +7.64% | Acquired | 66.5% (price as of 2026-08-20) |
| Dec. 8, 2017 | TROW | F | 6,405 | $102.75 | $658,114 | 661,581 Direct | -0.96% | Disposed | 9.5% (price as of 2026-08-20) |
| Dec. 1, 2017 | TROW | A | 162 | $90.92 | $14,729 | 667,986 Direct | +0.02% | Acquired | 23.7% (price as of 2026-08-20) |
| Dec. 1, 2017 | TROW | G | 8,250 | — | — | 667,824 Direct | -1.22% | Disposed | (price as of 2026-08-20) |
| Sept. 6, 2017 | TROW | A | 10,532 | — | — | 676,074 Direct | +1.58% | Acquired | (price as of 2026-08-20) |
| Sept. 6, 2017 | TROW | A | 469 | $71.97 | $33,754 | 665,542 Direct | +0.07% | Acquired | 56.3% (price as of 2026-08-20) |
| Feb. 15, 2017 | TROW | A | 177 | $74.93 | $13,263 | 665,073 Direct | +0.03% | Acquired | 50.2% (price as of 2026-08-20) |
| Feb. 15, 2017 | TROW | A | 10,319 | — | — | 664,896 Direct | +1.58% | Acquired | (price as of 2026-08-20) |
| Dec. 22, 2016 | TROW | G | 46,400 | — | — | 654,577 Direct | -6.62% | Disposed | (price as of 2026-08-20) |
| Dec. 21, 2016 | TROW | G | 5,200 | — | — | 700,977 Direct | -0.74% | Disposed | (price as of 2026-08-20) |
| Dec. 16, 2016 | TROW | M | 1,479 | — | — | 50,569 Direct | -2.84% | Disposed | (price as of 2026-08-20) |
| Dec. 16, 2016 | TROW | M | 2,098 | — | — | 0 Direct | -100.00% | Disposed | (price as of 2026-08-20) |
| Dec. 16, 2016 | TROW | M | 126 | — | — | 0 Direct | -100.00% | Disposed | (price as of 2026-08-20) |
| Dec. 16, 2016 | TROW | M | 3,684 | — | — | 0 Direct | -100.00% | Disposed | (price as of 2026-08-20) |
| Dec. 16, 2016 | TROW | M | 1,803 | — | — | 0 Direct | -100.00% | Disposed | (price as of 2026-08-20) |
| Dec. 16, 2016 | TROW | M | 1,479 | $67.56 | $99,921 | 706,177 Direct | +0.21% | Acquired | 66.5% (price as of 2026-08-20) |
| Dec. 16, 2016 | TROW | M | 2,098 | $47.65 | $99,970 | 704,698 Direct | +0.30% | Acquired | 136.1% (price as of 2026-08-20) |
| Dec. 16, 2016 | TROW | M | 126 | $43.37 | $5,465 | 702,600 Direct | +0.02% | Acquired | 159.4% (price as of 2026-08-20) |
| Dec. 16, 2016 | TROW | M | 3,684 | $26.39 | $97,221 | 702,474 Direct | +0.53% | Acquired | 326.3% (price as of 2026-08-20) |
| Dec. 16, 2016 | TROW | M | 1,803 | $54.83 | $98,858 | 698,790 Direct | +0.26% | Acquired | 105.2% (price as of 2026-08-20) |
| Dec. 15, 2016 | TROW | M | 52,048 | — | — | 0 Direct | -100.00% | Disposed | (price as of 2026-08-20) |
| Dec. 15, 2016 | TROW | M | 52,048 | — | — | 0 Direct | -100.00% | Disposed | (price as of 2026-08-20) |
| Dec. 15, 2016 | TROW | M | 49,949 | — | — | 2,098 Direct | -95.97% | Disposed | (price as of 2026-08-20) |
| Dec. 15, 2016 | TROW | M | 51,921 | — | — | 126 Direct | -99.76% | Disposed | (price as of 2026-08-20) |
| Dec. 15, 2016 | TROW | M | 48,363 | — | — | 3,684 Direct | -92.92% | Disposed | (price as of 2026-08-20) |
| Dec. 15, 2016 | TROW | F | 198,958 | $76.00 | $15,120,808 | 696,987 Direct | -22.21% | Disposed | 48.0% (price as of 2026-08-20) |
| Dec. 15, 2016 | TROW | M | 52,048 | $48.56 | $2,527,451 | 895,945 Direct | +6.17% | Acquired | 131.7% (price as of 2026-08-20) |
| Dec. 15, 2016 | TROW | M | 52,048 | $45.79 | $2,383,278 | 843,897 Direct | +6.57% | Acquired | 145.7% (price as of 2026-08-20) |
| Dec. 15, 2016 | TROW | M | 49,949 | $47.65 | $2,380,070 | 791,849 Direct | +6.73% | Acquired | 136.1% (price as of 2026-08-20) |
| Dec. 15, 2016 | TROW | M | 51,921 | $43.37 | $2,251,814 | 741,900 Direct | +7.53% | Acquired | 159.4% (price as of 2026-08-20) |
| Dec. 15, 2016 | TROW | M | 48,363 | $26.39 | $1,276,300 | 689,979 Direct | +7.54% | Acquired | 326.3% (price as of 2026-08-20) |
| Dec. 9, 2016 | TROW | F | 4,507 | $76.60 | $345,236 | 641,616 Direct | -0.70% | Disposed | 46.9% (price as of 2026-08-20) |
| Dec. 6, 2016 | TROW | A | 206 | $66.74 | $13,748 | 645,386 Direct | +0.03% | Acquired | 68.6% (price as of 2026-08-20) |
| Dec. 6, 2016 | TROW | M | 102,293 | $54.83 | $5,608,725 | 747,679 Direct | +15.85% | Acquired | 105.2% (price as of 2026-08-20) |
| Dec. 6, 2016 | TROW | F | 88,161 | $76.09 | $6,708,170 | 659,518 Direct | -11.79% | Disposed | 47.9% (price as of 2026-08-20) |
| Dec. 6, 2016 | TROW | G | 13,395 | — | — | 646,123 Direct | -2.03% | Disposed | (price as of 2026-08-20) |
| Dec. 6, 2016 | TROW | M | 102,293 | — | — | 1,803 Direct | -98.27% | Disposed | (price as of 2026-08-20) |
| Sept. 7, 2016 | TROW | A | 4,500 | — | — | 645,180 Direct | +0.70% | Acquired | (price as of 2026-08-20) |
| Sept. 7, 2016 | TROW | A | 437 | $72.44 | $31,656 | 640,680 Direct | +0.07% | Acquired | 55.3% (price as of 2026-08-20) |
| March 30, 2016 | TROW | M | 104,096 | — | — | 0 Direct | -100.00% | Disposed | (price as of 2026-08-20) |
| March 30, 2016 | TROW | F | 83,814 | $73.90 | $6,193,855 | 640,243 Direct | -11.58% | Disposed | 52.2% (price as of 2026-08-20) |
Showing latest 100 of 362 transactions
P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding
Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.
Derivative holdings (Form 4 Table II)
Options, RSUs and convertible securities reported on Form 4 Table II.
| Date | Ticker | Security | Underlying | Exercise price | Expiration | Shares | A/D |
|---|---|---|---|---|---|---|---|
| May 18, 2018 | TROW | Stock Options (Right to Buy) | Common Stock (50,569) | $67.56 | Feb. 17, 2021 | 50,569 | Disposed |
| Dec. 16, 2016 | TROW | Stock Options (Right to Buy) | Common Stock (1,479) | $67.56 | Feb. 17, 2021 | 1,479 | Disposed |
| Dec. 16, 2016 | TROW | Stock Options (Right to Buy) | Common Stock (2,098) | $47.65 | Feb. 18, 2020 | 2,098 | Disposed |
| Dec. 16, 2016 | TROW | Stock Options (Right to Buy) | Common Stock (126) | $43.37 | Sept. 10, 2019 | 126 | Disposed |
| Dec. 16, 2016 | TROW | Stock Options (Right to Buy) | Common Stock (3,684) | $26.39 | Feb. 12, 2019 | 3,684 | Disposed |
| Dec. 16, 2016 | TROW | Stock Options (Right to Buy) | Common Stock (1,803) | $54.83 | Sept. 4, 2018 | 1,803 | Disposed |
| Dec. 15, 2016 | TROW | Stock Options (Right to Buy) | Common Stock (52,048) | $48.56 | Sept. 8, 2021 | 52,048 | Disposed |
| Dec. 15, 2016 | TROW | Stock Options (Right to Buy) | Common Stock (52,048) | $45.79 | Sept. 8, 2020 | 52,048 | Disposed |
| Dec. 15, 2016 | TROW | Stock Options (Right to Buy) | Common Stock (49,949) | $47.65 | Feb. 18, 2020 | 49,949 | Disposed |
| Dec. 15, 2016 | TROW | Stock Options (Right to Buy) | Common Stock (51,921) | $43.37 | Sept. 10, 2019 | 51,921 | Disposed |
| Dec. 15, 2016 | TROW | Stock Options (Right to Buy) | Common Stock (48,363) | $26.39 | Feb. 12, 2019 | 48,363 | Disposed |
| Dec. 6, 2016 | TROW | Stock Options (Right to Buy) | Common Stock (102,293) | $54.83 | Sept. 4, 2018 | 102,293 | Disposed |
| March 30, 2016 | TROW | Stock Options (Right to Buy) | Common Stock (104,096) | $48.05 | Sept. 6, 2017 | 104,096 | Disposed |
| Sept. 10, 2015 | TROW | Stock Options (Right to Buy) | Common Stock (15,000) | $70.92 | Sept. 10, 2025 | 15,000 | Acquired |
| Feb. 25, 2015 | TROW | Stock Options (Right to Buy) | Common Stock (101,448) | — | Nov. 1, 2016 | 101,448 | Disposed |
| Feb. 19, 2015 | TROW | Stock Options (Right to Buy) | Common Stock (15,000) | $82.97 | Feb. 19, 2025 | 15,000 | Acquired |
| Sept. 9, 2014 | TROW | Stock Options (Right to Buy) | Common Stock (15,000) | $80.40 | Sept. 10, 2024 | 15,000 | Acquired |
| Aug. 20, 2014 | TROW | Stock Options (Right to Buy) | Common Stock (108,672) | $32.12 | Oct. 3, 2015 | 108,672 | Disposed |
| Feb. 19, 2014 | TROW | Stock Options (Right to Buy) | Common Stock (17,500) | $79.89 | Feb. 19, 2024 | 17,500 | Acquired |
| Sept. 10, 2013 | TROW | Stock Options (Right to Buy) | Common Stock (16,000) | $72.04 | Sept. 10, 2023 | 16,000 | Acquired |
| Feb. 28, 2013 | TROW | Stock Options (Right to Buy) | Common Stock (42,114) | $59.53 | Dec. 11, 2013 | 42,114 | Disposed |
| Feb. 21, 2013 | TROW | Stock Options (Right to Buy) | Common Stock (22,500) | $71.41 | Feb. 21, 2023 | 22,500 | Acquired |
| Dec. 18, 2012 | TROW | Stock Options (Right to Buy) | Common Stock (118,625) | $30.30 | Dec. 20, 2014 | 118,625 | Disposed |
| Sept. 6, 2012 | TROW | Stock Options (Right to Buy) | Common Stock (22,500) | $63.29 | Sept. 6, 2022 | 22,500 | Acquired |
| Feb. 23, 2012 | TROW | Stock Options (Right to Buy) | Common Stock (25,000) | $61.49 | Feb. 23, 2022 | 25,000 | Acquired |
| Feb. 17, 2012 | TROW | Stock Options (Right to Buy) | Common Stock (10,561) | $41.42 | July 30, 2012 | 10,561 | Disposed |
| Feb. 17, 2012 | TROW | Stock Options (Right to Buy) | Common Stock (13,040) | $33.54 | July 30, 2012 | 13,040 | Disposed |
| Feb. 17, 2012 | TROW | Stock Options (Right to Buy) | Common Stock (26,426) | $33.10 | July 30, 2012 | 26,426 | Disposed |
| Dec. 8, 2011 | TROW | Stock Options (Right to Buy) | Common Stock (4,600) | $21.72 | Dec. 11, 2013 | 4,600 | Disposed |
| Sept. 19, 2011 | TROW | Stock Options (Right to Buy) | Common Stock (4,031) | $49.08 | Sept. 21, 2011 | 4,031 | Disposed |
| Sept. 19, 2011 | TROW | Stock Options (Right to Buy) | Common Stock (12,258) | $33.54 | Sept. 21, 2011 | 12,258 | Disposed |
| Sept. 19, 2011 | TROW | Stock Options (Right to Buy) | Common Stock (37,262) | $33.10 | Sept. 21, 2011 | 37,262 | Disposed |
| Sept. 8, 2011 | TROW | Stock Options (Right to Buy) | Common Stock (50,000) | $50.55 | Sept. 8, 2021 | 50,000 | Acquired |
| Feb. 17, 2011 | TROW | Stock Options (Right to Buy) | Common Stock (50,000) | $70.33 | Feb. 17, 2021 | 50,000 | Acquired |
| Nov. 5, 2010 | TROW | Stock Options (Right to Buy) | Common Stock (3,200) | $30.78 | Dec. 20, 2014 | 3,200 | Disposed |
| Nov. 5, 2010 | TROW | Stock Options (Right to Buy) | Common Stock (112) | $46.19 | Nov. 1, 2016 | 112 | Disposed |
| Nov. 5, 2010 | TROW | Stock Options (Right to Buy) | Common Stock (3,000) | $32.62 | Oct. 3, 2015 | 3,000 | Disposed |
| Nov. 5, 2010 | TROW | Stock Options (Right to Buy) | Common Stock (115,400) | $21.72 | Dec. 11, 2013 | 115,400 | Disposed |
| Sept. 8, 2010 | TROW | Stock Options (Right to Buy) | Common Stock (50,000) | $47.67 | Sept. 8, 2020 | 50,000 | Acquired |
| April 29, 2010 | TROW | Stock Options (Right to Buy) | Common Stock (23,178) | $58.89 | Nov. 20, 2010 | 23,178 | Acquired |
| April 29, 2010 | TROW | Non-qualified Stock Option (Right to Buy) | Common Stock (70,000) | $19.50 | Nov. 20, 2010 | 70,000 | Disposed |
| Feb. 18, 2010 | TROW | Stock Options (Right to Buy) | Common Stock (50,000) | $49.60 | Feb. 18, 2020 | 50,000 | Acquired |
| Sept. 10, 2009 | TROW | Stock Options (Right to Buy) | Common Stock (50,000) | $45.15 | Sept. 10, 2019 | 50,000 | Acquired |
| Aug. 28, 2009 | TROW | Stock Options (Right to Buy) | Common Stock (71,789) | $41.42 | Sept. 3, 2009 | 71,789 | Disposed |
| Feb. 12, 2009 | TROW | Stock Options (Right to Buy) | Common Stock (50,000) | $27.47 | Feb. 12, 2019 | 50,000 | Acquired |
| Sept. 19, 2008 | TROW | Stock Options (Right to Buy) | Common Stock (22,496) | $65.01 | Nov. 20, 2010 | 22,496 | Acquired |
| Sept. 19, 2008 | TROW | Stock Options (Right to Buy) | Common Stock (45,306) | $49.08 | Dec. 21, 2008 | 45,306 | Disposed |
| Sept. 19, 2008 | TROW | Non-qualified Stock Option (Right to Buy) | Common Stock (75,000) | $19.50 | Nov. 20, 2010 | 75,000 | Disposed |
| Sept. 4, 2008 | TROW | Stock Options (Right to buy) | Common Stock (100,000) | $57.08 | Sept. 4, 2018 | 100,000 | Acquired |
| Dec. 19, 2007 | TROW | Stock Options (Right to buy) | Common Stock (16,078) | $60.64 | Nov. 20, 2010 | 16,078 | Acquired |
| Dec. 19, 2007 | TROW | Stock Options (Right to buy) | Common Stock (5,590) | $60.64 | July 30, 2012 | 5,590 | Acquired |
| Dec. 19, 2007 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (50,000) | $19.50 | Nov. 20, 2010 | 50,000 | Disposed |
| Dec. 19, 2007 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (24,800) | $13.67 | July 30, 2012 | 24,800 | Disposed |
| Nov. 27, 2007 | TROW | Incentive Stock Option (right to buy) | Common Stock (7,200) | $13.67 | July 30, 2012 | 7,200 | Disposed |
| Sept. 6, 2007 | TROW | Stock Options (Right to buy) | Common Stock (100,000) | $50.02 | Sept. 6, 2017 | 100,000 | Acquired |
| May 24, 2007 | TROW | Stock Options (Right to buy) | Common Stock (4,031) | $49.08 | Sept. 21, 2011 | 4,031 | Acquired |
| May 24, 2007 | TROW | Stock Options (Right to buy) | Common Stock (45,306) | $49.08 | Dec. 21, 2008 | 45,306 | Acquired |
| May 24, 2007 | TROW | Stock Options (Right to buy) | Common Stock (43,958) | $33.54 | Nov. 18, 2007 | 43,958 | Disposed |
| May 24, 2007 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (124,400) | $17.88 | Dec. 21, 2008 | 124,400 | Disposed |
| May 24, 2007 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (15,400) | $12.85 | Sept. 21, 2011 | 15,400 | Disposed |
| March 1, 2007 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (9,000) | $12.85 | Sept. 21, 2011 | 9,000 | Disposed |
| March 1, 2007 | TROW | Incentive Stock Option (right to buy) | Common Stock (7,600) | $12.85 | Sept. 21, 2011 | 7,600 | Disposed |
| Nov. 1, 2006 | TROW | Stock Options (Right to buy) | Common Stock (100,000) | $46.19 | Nov. 1, 2016 | 100,000 | Acquired |
| Aug. 9, 2006 | TROW | Stock Options (Right to buy) | Common Stock (71,789) | $41.42 | Sept. 3, 2009 | 71,789 | Acquired |
| Aug. 9, 2006 | TROW | Stock Options (Right to buy) | Common Stock (10,561) | $41.42 | July 30, 2012 | 10,561 | Acquired |
| Aug. 9, 2006 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (193,400) | $15.38 | Sept. 3, 2009 | 193,400 | Disposed |
| Aug. 9, 2006 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (32,000) | $13.67 | July 30, 2012 | 32,000 | Disposed |
| April 4, 2006 | TROW | Stock Options (Right to buy) | Common Stock (20,472) | $53.28 | Nov. 18, 2006 | 20,472 | Disposed |
| Dec. 14, 2005 | TROW | Incentive Stock Option (right to buy) | Common Stock (2,500) | $39.00 | Nov. 20, 2010 | 2,500 | Disposed |
| Dec. 14, 2005 | TROW | Incentive Stock Option (right to buy) | Common Stock (2,800) | $35.75 | Dec. 21, 2008 | 2,800 | Disposed |
| Dec. 14, 2005 | TROW | Incentive Stock Option (right to buy) | Common Stock (3,300) | $30.75 | Sept. 3, 2009 | 3,300 | Disposed |
| Nov. 3, 2005 | TROW | Stock Options (Right to buy) | Common Stock (6,520) | $67.09 | July 30, 2012 | 6,520 | Acquired |
| Nov. 3, 2005 | TROW | Stock Options (Right to buy) | Common Stock (21,979) | $67.09 | Nov. 18, 2007 | 21,979 | Acquired |
| Nov. 3, 2005 | TROW | Stock Options (Right to buy) | Common Stock (6,129) | $67.09 | Sept. 21, 2011 | 6,129 | Acquired |
| Nov. 3, 2005 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (47,000) | $31.38 | Nov. 18, 2007 | 47,000 | Disposed |
| Nov. 3, 2005 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (16,000) | $27.34 | July 30, 2012 | 16,000 | Disposed |
| Nov. 3, 2005 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (16,000) | $25.70 | Sept. 21, 2011 | 16,000 | Disposed |
| Nov. 3, 2005 | TROW | Incentive Stock Option (right to buy) | Common Stock (3,000) | $31.38 | Nov. 18, 2007 | 3,000 | Disposed |
| Oct. 3, 2005 | TROW | Stock Options (Right to buy) | Common Stock (55,000) | $65.24 | Oct. 3, 2015 | 55,000 | Acquired |
| July 27, 2005 | TROW | Stock Options (Right to buy) | Common Stock (18,631) | $66.21 | Sept. 21, 2011 | 18,631 | Acquired |
| July 27, 2005 | TROW | Stock Options (Right to buy) | Common Stock (13,213) | $66.21 | July 30, 2012 | 13,213 | Acquired |
| July 27, 2005 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (32,000) | $27.34 | July 30, 2012 | 32,000 | Disposed |
| July 27, 2005 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (48,000) | $25.70 | Sept. 21, 2011 | 48,000 | Disposed |
| July 6, 2005 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (18,487) | $39.85 | Nov. 1, 2005 | 18,487 | Disposed |
| July 6, 2005 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (5,745) | $36.38 | Nov. 1, 2005 | 5,745 | Disposed |
| Dec. 20, 2004 | TROW | Stock Options (Right to buy) | Common Stock (60,000) | $61.55 | Dec. 20, 2014 | 60,000 | Acquired |
| Sept. 21, 2004 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (5,051) | $35.75 | Nov. 10, 2004 | 5,051 | Disposed |
| Sept. 21, 2004 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (5,578) | $30.75 | Nov. 10, 2004 | 5,578 | Disposed |
| Feb. 11, 2004 | TROW | Non-Qualified Stock Option (right to buy) | Common Stock (60,600) | $18.00 | Nov. 18, 2006 | 60,600 | Disposed |
| Feb. 11, 2004 | TROW | Incentive Stock Option (right to buy) | Common Stock (5,400) | $18.00 | Nov. 18, 2006 | 5,400 | Disposed |
| Feb. 11, 2004 | TROW | Stock Options (Right to buy) | Common Stock (20,472) | $53.28 | Nov. 18, 2006 | 20,472 | Acquired |
| Dec. 11, 2003 | TROW | Stock Options (Right to buy) | Common Stock (60,000) | $43.45 | Dec. 11, 2013 | 60,000 | Acquired |
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 1 holding
Securities held when first becoming an insider, per SEC Form 3.
| Date | Ticker | Security | Shares | Ownership |
|---|---|---|---|---|
| May 11, 2020 | LPLA | Common Stock | 5,000 | Direct |
Compensation (DEF 14A)
Matched by name from proxy statements (DEF 14A) — verify against the filing.
| Fiscal year | Salary | Bonus | Stock awards | Option awards | Non-equity incentive | Pension change | Other | Total |
|---|---|---|---|---|---|---|---|---|
| 2017 | $350,000 | — | — | — | $6,000,000 | — | $81,095 | $8,049,052 |
| 2016 | $350,000 | — | — | — | $5,300,000 | — | $79,836 | $7,179,872 |
| 2015 | $350,000 | — | — | — | $5,300,000 | — | $78,969 | $6,944,042 |
Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.