James S Riepe

CIK 1203072 · View on SEC EDGAR ↗

Insider

First SEC filing: March 24, 2008 · Latest: March 24, 2008

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.

Insider at

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 97 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

97 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
March 31, 2021	GNW	A	19,387	—	—	476,443 Direct	+4.24%	Acquired	(price as of 2026-08-20)
Sept. 30, 2020	GNW	A	16,361	—	—	457,056 Direct	+3.71%	Acquired	(price as of 2026-08-20)
June 30, 2020	GNW	A	22,313	—	—	440,695 Direct	+5.33%	Acquired	(price as of 2026-08-20)
March 31, 2020	LPLA	A	9	—	—	95,214 Direct	+0.01%	Acquired	(price as of 2026-08-20)
March 31, 2020	LPLA	A	44	—	—	95,258 Direct	+0.05%	Acquired	(price as of 2026-08-20)
March 31, 2020	GNW	A	16,326	—	—	418,382 Direct	+4.06%	Acquired	(price as of 2026-08-20)
Dec. 31, 2019	GNW	A	3,485	—	—	402,056 Direct	+0.87%	Acquired	(price as of 2026-08-20)
Nov. 21, 2019	LPLA	A	5	—	—	95,179 Direct	+0.01%	Acquired	(price as of 2026-08-20)
Nov. 21, 2019	LPLA	A	26	—	—	95,205 Direct	+0.03%	Acquired	(price as of 2026-08-20)
Sept. 30, 2019	GNW	A	14,764	—	—	398,571 Direct	+3.85%	Acquired	(price as of 2026-08-20)
Aug. 23, 2019	LPLA	A	7	—	—	95,141 Direct	+0.01%	Acquired	(price as of 2026-08-20)
Aug. 23, 2019	LPLA	A	33	—	—	95,174 Direct	+0.03%	Acquired	(price as of 2026-08-20)
June 28, 2019	GNW	A	19,797	—	—	383,807 Direct	+5.44%	Acquired	(price as of 2026-08-20)
June 3, 2019	LPLA	A	6	—	—	95,105 Direct	+0.01%	Acquired	(price as of 2026-08-20)
June 3, 2019	LPLA	A	29	—	—	95,134 Direct	+0.03%	Acquired	(price as of 2026-08-20)
May 9, 2019	LPLA	A	2,074	—	—	94,029 Direct	+2.26%	Acquired	(price as of 2026-08-20)
May 9, 2019	LPLA	A	1,070	—	—	95,099 Direct	+1.14%	Acquired	(price as of 2026-08-20)
March 29, 2019	LPLA	A	8	—	—	91,933 Direct	+0.01%	Acquired	(price as of 2026-08-20)
March 29, 2019	LPLA	A	22	—	—	91,955 Direct	+0.02%	Acquired	(price as of 2026-08-20)
March 29, 2019	GNW	A	16,954	—	—	364,009 Direct	+4.89%	Acquired	(price as of 2026-08-20)
Dec. 31, 2018	GNW	A	2,746	—	—	347,056 Direct	+0.80%	Acquired	(price as of 2026-08-20)
Dec. 12, 2018	LPLA	M	4,500	$18.04	$81,180	87,442 Direct	+5.43%	Acquired	1881.7% (price as of 2026-08-20)
Dec. 12, 2018	LPLA	M	4,500	$19.74	$88,830	91,942 Direct	+5.15%	Acquired	1711.0% (price as of 2026-08-20)
Dec. 12, 2018	LPLA	M	4,500	$23.02	$103,590	96,442 Direct	+4.89%	Acquired	1453.0% (price as of 2026-08-20)
Dec. 12, 2018	LPLA	S	4,517	$60.69	$274,137	91,925 Direct	-4.68%	Disposed	489.1% (price as of 2026-08-20)
Dec. 12, 2018	LPLA	M	4,500	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Dec. 12, 2018	LPLA	M	4,500	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Dec. 12, 2018	LPLA	M	4,500	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Nov. 26, 2018	LPLA	A	9	—	—	82,916 Direct	+0.01%	Acquired	(price as of 2026-08-20)
Nov. 26, 2018	LPLA	A	26	—	—	82,942 Direct	+0.03%	Acquired	(price as of 2026-08-20)
Sept. 28, 2018	GNW	A	14,982	—	—	344,309 Direct	+4.55%	Acquired	(price as of 2026-08-20)
Aug. 23, 2018	LPLA	A	9	—	—	82,884 Direct	+0.01%	Acquired	(price as of 2026-08-20)
Aug. 23, 2018	LPLA	A	23	—	—	82,907 Direct	+0.03%	Acquired	(price as of 2026-08-20)
June 29, 2018	GNW	A	15,083	—	—	329,327 Direct	+4.80%	Acquired	(price as of 2026-08-20)
June 1, 2018	LPLA	A	8	—	—	82,853 Direct	+0.01%	Acquired	(price as of 2026-08-20)
June 1, 2018	LPLA	A	22	—	—	82,875 Direct	+0.03%	Acquired	(price as of 2026-08-20)
May 18, 2018	LPLA	A	2,463	—	—	81,574 Direct	+3.11%	Acquired	(price as of 2026-08-20)
May 18, 2018	LPLA	A	1,271	—	—	82,845 Direct	+1.56%	Acquired	(price as of 2026-08-20)
March 29, 2018	GNW	A	22,188	—	—	314,244 Direct	+7.60%	Acquired	(price as of 2026-08-20)
March 23, 2018	LPLA	A	22	—	—	79,111 Direct	+0.03%	Acquired	(price as of 2026-08-20)
March 2, 2018	LPLA	M	4,500	$27.17	$122,265	75,721 Direct	+6.32%	Acquired	1215.8% (price as of 2026-08-20)
March 2, 2018	LPLA	M	4,500	$26.33	$118,485	80,221 Direct	+5.94%	Acquired	1257.7% (price as of 2026-08-20)
March 2, 2018	LPLA	M	4,500	$24.96	$112,320	84,721 Direct	+5.61%	Acquired	1332.3% (price as of 2026-08-20)
March 2, 2018	LPLA	S	5,632	$62.77	$353,521	79,089 Direct	-6.65%	Disposed	469.5% (price as of 2026-08-20)
March 2, 2018	LPLA	M	4,500	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
March 2, 2018	LPLA	M	4,500	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
March 2, 2018	LPLA	M	4,500	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Jan. 8, 2018	LPLA	M	4,500	$27.80	$125,100	71,221 Direct	+6.74%	Acquired	1186.0% (price as of 2026-08-20)
Jan. 8, 2018	LPLA	M	4,500	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Dec. 31, 2017	GNW	A	4,283	—	—	292,056 Direct	+1.49%	Acquired	(price as of 2026-08-20)
Nov. 27, 2017	LPLA	A	25	—	—	66,721 Direct	+0.04%	Acquired	(price as of 2026-08-20)
Sept. 30, 2017	GNW	A	17,129	—	—	287,773 Direct	+6.33%	Acquired	(price as of 2026-08-20)
Aug. 24, 2017	LPLA	A	28	—	—	66,696 Direct	+0.04%	Acquired	(price as of 2026-08-20)
June 30, 2017	GNW	A	17,577	—	—	270,644 Direct	+6.95%	Acquired	(price as of 2026-08-20)
May 25, 2017	LPLA	A	33	—	—	66,668 Direct	+0.05%	Acquired	(price as of 2026-08-20)
May 18, 2017	LPLA	A	3,199	—	—	64,667 Direct	+5.20%	Acquired	(price as of 2026-08-20)
May 18, 2017	LPLA	A	1,968	—	—	66,635 Direct	+3.04%	Acquired	(price as of 2026-08-20)
March 31, 2017	GNW	A	16,011	—	—	253,067 Direct	+6.75%	Acquired	(price as of 2026-08-20)
March 24, 2017	LPLA	A	22	—	—	61,457 Direct	+0.04%	Acquired	(price as of 2026-08-20)
March 24, 2017	LPLA	A	11	—	—	61,468 Direct	+0.02%	Acquired	(price as of 2026-08-20)
Dec. 14, 2016	LPLA	A	3,468	—	—	59,701 Direct	+6.17%	Acquired	(price as of 2026-08-20)
Dec. 14, 2016	LPLA	A	1,734	—	—	61,435 Direct	+2.90%	Acquired	(price as of 2026-08-20)
Sept. 30, 2016	GNW	A	11,976	—	—	237,056 Direct	+5.32%	Acquired	(price as of 2026-08-20)
June 30, 2016	GNW	A	20,293	—	—	225,080 Direct	+9.91%	Acquired	(price as of 2026-08-20)
March 31, 2016	GNW	A	22,731	—	—	204,787 Direct	+12.49%	Acquired	(price as of 2026-08-20)
Dec. 31, 2015	GNW	A	16,460	—	—	182,056 Direct	+9.94%	Acquired	(price as of 2026-08-20)
Sept. 30, 2015	GNW	A	13,119	—	—	165,595 Direct	+8.60%	Acquired	(price as of 2026-08-20)
June 30, 2015	GNW	A	8,186	—	—	152,476 Direct	+5.67%	Acquired	(price as of 2026-08-20)
May 18, 2015	LPLA	A	1,592	$42.85	$68,217	56,233 Direct	+2.91%	Acquired	734.3% (price as of 2026-08-20)
May 12, 2015	LPLA	A	3,185	$40.81	$129,980	54,641 Direct	+6.19%	Acquired	776.0% (price as of 2026-08-20)
March 31, 2015	GNW	A	8,708	—	—	144,290 Direct	+6.42%	Acquired	(price as of 2026-08-20)
Dec. 31, 2014	GNW	A	7,758	—	—	135,582 Direct	+6.07%	Acquired	(price as of 2026-08-20)
Sept. 30, 2014	GNW	A	4,853	—	—	127,825 Direct	+3.95%	Acquired	(price as of 2026-08-20)
June 30, 2014	GNW	A	3,678	—	—	122,972 Direct	+3.08%	Acquired	(price as of 2026-08-20)
May 7, 2014	LPLA	A	1,706	$46.89	$79,994	51,456 Direct	+3.43%	Acquired	662.4% (price as of 2026-08-20)
March 31, 2014	GNW	A	3,770	—	—	119,294 Direct	+3.26%	Acquired	(price as of 2026-08-20)
March 6, 2014	LPLA	A	935	$53.47	$49,994	49,750 Direct	+1.92%	Acquired	568.6% (price as of 2026-08-20)
Dec. 31, 2013	GNW	A	3,832	—	—	115,524 Direct	+3.43%	Acquired	(price as of 2026-08-20)
Nov. 19, 2013	LPLA	A	1,183	—	—	48,815 Direct	+2.48%	Acquired	(price as of 2026-08-20)
Sept. 30, 2013	GNW	A	4,732	—	—	111,692 Direct	+4.42%	Acquired	(price as of 2026-08-20)
June 28, 2013	GNW	A	5,334	—	—	106,961 Direct	+5.25%	Acquired	(price as of 2026-08-20)
May 22, 2013	NDAQ	A	3,713	—	—	31,777 Direct	+13.23%	Acquired	(price as of 2026-08-20)
March 28, 2013	GNW	A	5,849	—	—	101,627 Direct	+6.11%	Acquired	(price as of 2026-08-20)
Feb. 22, 2013	LPLA	A	1,582	—	—	47,632 Direct	+3.44%	Acquired	(price as of 2026-08-20)
Dec. 31, 2012	GNW	A	8,476	—	—	95,778 Direct	+9.71%	Acquired	(price as of 2026-08-20)
Nov. 8, 2012	LPLA	A	1,785	—	—	46,050 Direct	+4.03%	Acquired	(price as of 2026-08-20)
Sept. 28, 2012	GNW	A	14,059	—	—	87,302 Direct	+19.20%	Acquired	(price as of 2026-08-20)
June 29, 2012	GNW	A	5,448	—	—	73,243 Direct	+8.04%	Acquired	(price as of 2026-08-20)
May 22, 2012	NDAQ	A	5,153	—	—	28,064 Direct	+22.49%	Acquired	(price as of 2026-08-20)
May 21, 2012	GNW	P	45,000	$5.01	$225,450	68,000 Direct	+195.65%	Acquired	96.3% (price as of 2026-08-20)
March 30, 2012	GNW	A	3,226	—	—	67,794 Direct	+5.00%	Acquired	(price as of 2026-08-20)
Feb. 9, 2012	LPLA	A	1,550	—	—	44,265 Direct	+3.63%	Acquired	(price as of 2026-08-20)
Dec. 30, 2011	GNW	A	4,459	—	—	64,569 Direct	+7.42%	Acquired	(price as of 2026-08-20)
Dec. 1, 2011	LPLA	A	1,667	—	—	42,715 Direct	+4.06%	Acquired	(price as of 2026-08-20)
Sept. 30, 2011	GNW	A	4,913	—	—	60,109 Direct	+8.90%	Acquired	(price as of 2026-08-20)
June 30, 2011	GNW	A	2,782	—	—	55,196 Direct	+5.31%	Acquired	(price as of 2026-08-20)
May 26, 2011	NDAQ	A	6,358	—	—	22,911 Direct	+38.41%	Acquired	(price as of 2026-08-20)
March 31, 2011	GNW	A	2,208	—	—	52,414 Direct	+4.40%	Acquired	(price as of 2026-08-20)
Feb. 16, 2011	LPLA	A	1,513	—	—	41,048 Direct	+3.83%	Acquired	(price as of 2026-08-20)
Dec. 31, 2010	GNW	A	2,195	—	—	50,206 Direct	+4.57%	Acquired	(price as of 2026-08-20)

Showing latest 100 of 236 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
March 31, 2021	GNW	Deferred Stock Units	Class A Common Stock (19,387)	—	—	19,387	Acquired
Sept. 30, 2020	GNW	Deferred Stock Units	Class A Common Stock (16,361)	—	—	16,361	Acquired
June 30, 2020	GNW	Deferred Stock Units	Class A Common Stock (22,313)	—	—	22,313	Acquired
March 31, 2020	GNW	Deferred Stock Units	Class A Common Stock (16,326)	—	—	16,326	Acquired
Dec. 31, 2019	GNW	Deferred Stock Units	Class A Common Stock (3,485)	—	—	3,485	Acquired
Sept. 30, 2019	GNW	Deferred Stock Units	Class A Common Stock (14,764)	—	—	14,764	Acquired
June 28, 2019	GNW	Deferred Stock Units	Class A Common Stock (19,797)	—	—	19,797	Acquired
March 29, 2019	GNW	Deferred Stock Units	Class A Common Stock (16,954)	—	—	16,954	Acquired
Dec. 31, 2018	GNW	Deferred Stock Units	Class A Common Stock (2,746)	—	—	2,746	Acquired
Dec. 12, 2018	LPLA	Option to purchase Common Stock	Common Stock (4,500)	$18.04	Feb. 12, 2019	4,500	Disposed
Dec. 12, 2018	LPLA	Option to purchase Common Stock	Common Stock (4,500)	$19.74	June 2, 2019	4,500	Disposed
Dec. 12, 2018	LPLA	Option to purchase Common Stock	Common Stock (4,500)	$23.02	Nov. 16, 2019	4,500	Disposed
Sept. 28, 2018	GNW	Deferred Stock Units	Class A Common Stock (14,982)	—	—	14,982	Acquired
June 29, 2018	GNW	Deferred Stock Units	Class A Common Stock (15,083)	—	—	15,083	Acquired
March 29, 2018	GNW	Deferred Stock Units	Class A Common Stock (22,188)	—	—	22,188	Acquired
March 2, 2018	LPLA	Option to purchase Common Stock	Common Stock (4,500)	$27.17	May 14, 2018	4,500	Disposed
March 2, 2018	LPLA	Option to purchase Common Stock	Common Stock (4,500)	$26.33	Sept. 9, 2018	4,500	Disposed
March 2, 2018	LPLA	Option to purchase Common Stock	Common Stock (4,500)	$24.96	Nov. 19, 2018	4,500	Disposed
Jan. 8, 2018	LPLA	Option to purchase Common Stock	Common Stock (4,500)	$27.80	Feb. 12, 2018	4,500	Disposed
Dec. 31, 2017	GNW	Deferred Stock Units	Class A Common Stock (4,283)	—	—	4,283	Acquired
Sept. 30, 2017	GNW	Deferred Stock Units	Class A Common Stock (17,129)	—	—	17,129	Acquired
June 30, 2017	GNW	Deferred Stock Units	Class A Common Stock (17,577)	—	—	17,577	Acquired
March 31, 2017	GNW	Deferred Stock Units	Class A Common Stock (16,011)	—	—	16,011	Acquired
Sept. 30, 2016	GNW	Deferred Stock Units	Class A Common Stock (11,976)	—	—	11,976	Acquired
June 30, 2016	GNW	Deferred Stock Units	Class A Common Stock (20,293)	—	—	20,293	Acquired
March 31, 2016	GNW	Deferred Stock Units	Class A Common Stock (22,731)	—	—	22,731	Acquired
Dec. 31, 2015	GNW	Deferred Stock Units	Class A Common Stock (16,460)	—	—	16,460	Acquired
Sept. 30, 2015	GNW	Deferred Stock Units	Class A Common Stock (13,119)	—	—	13,119	Acquired
June 30, 2015	GNW	Deferred Stock Units	Class A Common Stock (8,186)	—	—	8,186	Acquired
March 31, 2015	GNW	Deferred Stock Units	Class A Common Stock (8,708)	—	—	8,708	Acquired
Dec. 31, 2014	GNW	Deferred Stock Units	Class A Common Stock (7,758)	—	—	7,758	Acquired
Sept. 30, 2014	GNW	Deferred Stock Units	Class A Common Stock (4,853)	—	—	4,853	Acquired
June 30, 2014	GNW	Deferred Stock Units	Class A Common Stock (3,678)	—	—	3,678	Acquired
March 31, 2014	GNW	Deferred Stock Units	Class A Common Stock (3,770)	—	—	3,770	Acquired
Dec. 31, 2013	GNW	Deferred Stock Units	Class A Common Stock (3,832)	—	—	3,832	Acquired
Sept. 30, 2013	GNW	Deferred Stock Units	Class A Common Stock (4,732)	—	—	4,732	Acquired
June 28, 2013	GNW	Deferred Stock Units	Class A Common Stock (5,334)	—	—	5,334	Acquired
March 28, 2013	GNW	Deferred Stock Units	Class A Common Stock (5,849)	—	—	5,849	Acquired
Dec. 31, 2012	GNW	Deferred Stock Units	Class A Common Stock (8,476)	—	—	8,476	Acquired
Sept. 28, 2012	GNW	Deferred Stock Units	Class A Common Stock (14,059)	—	—	14,059	Acquired
June 29, 2012	GNW	Deferred Stock Units	Class A Common Stock (5,448)	—	—	5,448	Acquired
March 30, 2012	GNW	Deferred Stock Units	Class A Common Stock (3,226)	—	—	3,226	Acquired
Dec. 30, 2011	GNW	Deferred Stock Units	Class A Common Stock (4,459)	—	—	4,459	Acquired
Sept. 30, 2011	GNW	Deferred Stock Units	Class A Common Stock (4,913)	—	—	4,913	Acquired
June 30, 2011	GNW	Deferred Stock Units	Class A Common Stock (2,782)	—	—	2,782	Acquired
March 31, 2011	GNW	Deferred Stock Units	Class A Common Stock (2,208)	—	—	2,208	Acquired
Dec. 31, 2010	GNW	Deferred Stock Units	Class A Common Stock (2,195)	—	—	2,195	Acquired
Sept. 30, 2010	GNW	Deferred Stock Units	Class A Common Stock (2,330)	—	—	2,330	Acquired
June 30, 2010	GNW	Deferred Stock Units	Class A Common Stock (1,950)	—	—	1,950	Acquired
March 31, 2010	GNW	Deferred Stock Units	Class A Common Stock (1,710)	—	—	1,710	Acquired
Dec. 31, 2009	GNW	Deferred Stock Units	Class A Common Stock (2,106)	—	—	2,106	Acquired
Nov. 16, 2009	LPLA	Option to purchase Common Stock	Common Stock (4,500)	$23.02	Nov. 16, 2019	4,500	Acquired
Sept. 30, 2009	GNW	Deferred Stock Units	Class A Common Stock (2,069)	—	—	2,069	Acquired
June 30, 2009	GNW	Deferred Stock Units	Class A Common Stock (3,701)	—	—	3,701	Acquired
June 2, 2009	LPLA	Option to purchase Common Stock	Common Stock (4,500)	$19.74	June 2, 2019	4,500	Acquired
March 31, 2009	GNW	Deferred Stock Units	Class A Common Stock (15,156)	—	—	15,156	Acquired
Feb. 12, 2009	GNW	Deferred Stock Units	Class A Common Stock (18,990)	—	—	18,990	Acquired
Feb. 12, 2009	GNW	Deferred Stock Units	Class A Common Stock (18,990)	—	—	18,990	Disposed
Feb. 12, 2009	LPLA	Option to purchase Common Stock	Common Stock (4,500)	$18.04	Feb. 12, 2019	4,500	Acquired
Dec. 31, 2008	GNW	Deferred Stock Units	Class A Common Stock (9,122)	—	—	9,122	Acquired
Nov. 19, 2008	LPLA	Option to purchase common stock	Common Stock (4,500)	$24.96	Nov. 19, 2018	4,500	Acquired
Sept. 30, 2008	GNW	Deferred Stock Units	Class A Common Stock (1,878)	—	—	1,878	Acquired
Sept. 9, 2008	LPLA	Common Stock	Common Stock (4,500)	$26.33	Sept. 9, 2018	4,500	Acquired
June 30, 2008	GNW	Deferred Stock Units	Class A Common Stock (1,208)	—	—	1,208	Acquired
May 14, 2008	LPLA	Option award (right to buy)	Common Stock (4,500)	—	May 14, 2018	4,500	Acquired
May 14, 2008	LPLA	Option award (right to buy)	Common Stock (4,500)	$27.80	May 14, 2018	4,500	Acquired
March 31, 2008	GNW	Deferred Stock Units	Class A Common Stock (1,076)	—	—	1,076	Acquired
Feb. 12, 2008	LPLA	Option award (right to buy)	Common Stock (4,500)	$27.80	Feb. 12, 2018	4,500	Acquired
Feb. 12, 2008	LPLA	Option award (right to buy)	Common Stock (4,500)	$27.80	Feb. 12, 2018	4,500	Acquired
Dec. 31, 2007	GNW	Deferred Stock Units	Class A Common Stock (930)	—	—	930	Acquired
Oct. 29, 2007	GNW	Deferred Stock Units	Class A Common Stock (16)	—	—	16	Acquired
Sept. 28, 2007	GNW	Deferred Stock Units	Class A Common Stock (807)	—	—	807	Acquired
July 27, 2007	GNW	Deferred Stock Units	Class A Common Stock (10)	—	—	10	Acquired
June 29, 2007	GNW	Deferred Stock Units	Class A Common Stock (678)	—	—	678	Acquired
April 27, 2007	GNW	Deferred Stock Units	Class A Common Stock (7)	—	—	7	Acquired
March 30, 2007	GNW	Deferred Stock Units	Class A Common Stock (690)	—	—	690	Acquired
Jan. 29, 2007	GNW	Deferred Stock Units	Class A Common Stock (6)	—	—	6	Acquired
Dec. 29, 2006	GNW	Deferred Stock Units	Class A Common Stock (711)	—	—	711	Acquired
Oct. 27, 2006	GNW	Deferred Stock Units	Class A Common Stock (4)	—	—	4	Acquired
Sept. 29, 2006	GNW	Deferred Stock Units	Class A Common Stock (681)	—	—	681	Acquired
July 27, 2006	GNW	Deferred Stock Units	Class A Common Stock (2)	—	—	2	Acquired
June 30, 2006	GNW	Deferred Stock Units	Class A Common Stock (717)	—	—	717	Disposed
April 27, 2006	GNW	Deferred Stock Units	Class A Common Stock (0)	—	—	0	Acquired
March 31, 2006	GNW	Deferred Stock Units	Class A Common Stock (118)	—	—	118	Disposed
March 20, 2006	TROW	Non-Qualified Stock Option (right to buy)	Common Stock (47,500)	$39.00	July 31, 2006	47,500	Disposed
March 20, 2006	TROW	Non-Qualified Stock Option (right to buy)	Common Stock (41,900)	$35.75	July 31, 2006	41,900	Disposed
March 20, 2006	TROW	Non-Qualified Stock Option (right to buy)	Common Stock (46,500)	$30.75	July 31, 2006	46,500	Disposed
March 17, 2006	TROW	Non-Qualified Stock Option (right to buy)	Common Stock (47,500)	$39.00	July 31, 2006	47,500	Acquired
March 17, 2006	TROW	Non-Qualified Stock Option (right to buy)	Common Stock (41,900)	$35.75	July 31, 2006	41,900	Acquired
March 17, 2006	TROW	Non-Qualified Stock Option (right to buy)	Common Stock (46,500)	$30.75	July 31, 2006	46,500	Acquired
March 17, 2006	TROW	Non-Qualified Stock Option (right to buy)	Common Stock (47,500)	$39.00	Nov. 20, 2010	47,500	Disposed
March 17, 2006	TROW	Non-Qualified Stock Option (right to buy)	Common Stock (41,900)	$35.75	Dec. 21, 2008	41,900	Disposed
March 17, 2006	TROW	Non-Qualified Stock Option (right to buy)	Common Stock (46,500)	$30.75	Sept. 3, 2009	46,500	Disposed
Nov. 21, 2005	TROW	Incentive Stock Option (right to buy)	Common Stock (2,500)	$39.00	Nov. 20, 2010	2,500	Disposed
Nov. 21, 2005	TROW	Incentive Stock Option (right to buy)	Common Stock (8,100)	$35.75	Dec. 21, 2008	8,100	Disposed
Nov. 21, 2005	TROW	Incentive Stock Option (right to buy)	Common Stock (3,500)	$30.75	Sept. 3, 2009	3,500	Disposed
Aug. 2, 2005	TROW	Non-Qualified Stock Option (right to buy)	Common Stock (9,800)	$13.06	Nov. 1, 2005	9,800	Disposed
Aug. 2, 2005	TROW	Non-Qualified Stock Option (right to buy)	Common Stock (17,751)	$55.19	Nov. 1, 2005	17,751	Disposed
Aug. 2, 2005	TROW	Non-Qualified Stock Option (right to buy)	Common Stock (15,587)	$41.90	Sept. 11, 2013	15,587	Disposed
Aug. 2, 2005	TROW	Non-Qualified Stock Option (right to buy)	Common Stock (17,237)	$37.89	Nov. 1, 2005	17,237	Disposed

Showing latest 100 of 111 transactions

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 6 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
March 24, 2008	LPLA	Common Stock	35,971	Direct
March 24, 2008	LPLA	Common Stock	35,971	Indirect
March 24, 2008	LPLA	Options award→ Common (1,500)	1,500	Direct
March 24, 2008	LPLA	Options award→ Common (1,500)	1,500	Direct
March 24, 2008	LPLA	Options award→ Common (1,500)	1,500	Direct
March 27, 2006	GNW	Class A Common Stock	600	Direct