Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LPL Financial Holdings Inc.LPLA · Entity 3160 | Director | August 28, 2026 | September 01, 2026 |
| PRICE T ROWE GROUP INCTROW · Entity 3212 | Director · Vice COB | April 25, 2019 | April 29, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
LPL Financial Holdings Inc.
Report date August 28, 2026 · Filed September 01, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 16,262 |
Reported balance
After 2026-08-28 transaction · row 1
1 source rowRow 1 · 2026-08-28 · Grant · Acquired 3 · Balance 16,262 F1: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.
PRICE T ROWE GROUP INC
Report date April 25, 2019 · Filed April 29, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Indirect2008 Bernard Family Trust | 181,963 |
Reported balance
After 2019-04-25 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-04-25 · Sale · Disposed 20,000 · Balance 181,963 F1: The range of prices for this transaction were $107.81 to $108.061. Will provide upon request by the commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. |
| Common StockSEC Table I · non-derivative | Direct | 649,135 |
Reported balance
After 2019-04-26 transaction · row 2
1 source rowRow 2 · 2019-04-26 · Gift · Disposed 2,000 · Balance 649,135 |
| Common StockSEC Table I · non-derivative | Indirect2012 Ellen N. Bernard Family Trust | 67,500 |
Reported balance
Holding disclosure · report date 2019-04-25 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 67,500 |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 60,500 |
Reported balance
Holding disclosure · report date 2019-04-25 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 60,500 |
Filing footnotes · ownership attribution and instrument terms
F1: The range of prices for this transaction were $107.81 to $108.061. Will provide upon request by the commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 07, 2020 Filed May 11, 2020 21:59 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 1,435 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000106 · wf-form4_158923437197167.xml · nonDerivative · entry 2 BERNARD EDWARD C · CIK 0001203065 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,215 F2 · shares: Represents stock units granted under the 2010 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. These stock units are subject to a written deferral election under the DDCP pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy. Read SEC document |
| May 07, 2020 Filed May 11, 2020 21:59 UTC | LPL Financial Holdings Inc. LPLA · Entity 3160 | GrantCommon Stock | 2,780 | $0.00 | $0.00 |
DisclosureSEC source: 0001397911-20-000106 · wf-form4_158923437197167.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,780 F1 · shares: Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 4, 2021. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP") pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy"). Read SEC document |
| April 26, 2019 Filed Apr 29, 2019 19:51 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GiftCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-19-002411 · primarydocument.xml · nonDerivative · entry 2 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 649,135 Read SEC document |
| April 25, 2019 Filed Apr 29, 2019 19:51 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | SaleCommon Stock | 20,000 | $107.92 | $2,158,470.00 |
DisclosureSEC source: 0001562180-19-002411 · primarydocument.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB 10b5-1 filing: Not disclosed Ownership: Indirect · 2008 Bernard Family Trust Disclosed balance after: 181,963 F1 · price: The range of prices for this transaction were $107.81 to $108.061. Will provide upon request by the commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| March 27, 2019 Filed Mar 28, 2019 18:45 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionStock Options (Right to Buy) · Derivative | 1,692 | $59.07 Strike: $59.07 | $99,945.26 |
DisclosureSEC source: 0001562180-19-002042 · primarydocument.xml · derivative · entry 5 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,331 Underlying: Common Stock · 1,692 shares Expires 2022-02-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: 02/23/2012 Grant - The option vests 20% annually over a 5 year period beginning on 12/8/2013. Read SEC document |
| March 27, 2019 Filed Mar 28, 2019 18:45 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionStock Options (Right to Buy) · Derivative | 1,434 | $69.67 Strike: $69.67 | $99,907.93 |
DisclosureSEC source: 0001562180-19-002042 · primarydocument.xml · derivative · entry 4 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,626 Underlying: Common Stock · 1,434 shares Expires 2023-02-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: 02/21/2013 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2014. Read SEC document |
| March 27, 2019 Filed Mar 28, 2019 18:45 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Tax withholdingCommon Stock | 2,016 | $99.09 | $199,765.44 |
DisclosureSEC source: 0001562180-19-002042 · primarydocument.xml · nonDerivative · entry 3 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 651,135 Read SEC document |
| March 27, 2019 Filed Mar 28, 2019 18:45 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionCommon Stock | 1,434 | $69.67 | $99,907.93 |
DisclosureSEC source: 0001562180-19-002042 · primarydocument.xml · nonDerivative · entry 2 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 653,151 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 27, 2019 Filed Mar 28, 2019 18:45 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionCommon Stock | 1,692 | $59.07 | $99,945.26 |
DisclosureSEC source: 0001562180-19-002042 · primarydocument.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 651,717 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 28, 2019 Filed Mar 4, 2019 18:48 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Tax withholdingCommon Stock | 1,507 | $100.43 | $151,348.01 |
DisclosureSEC source: 0001562180-19-001567 · primarydocument.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 650,025 F1 · shares: These shares were withheld to pay for taxes on Performance Stock Units that vested on 2/28/2019. Read SEC document |
| February 15, 2019 Filed Feb 19, 2019 20:39 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | SaleCommon Stock | 10,000 | $97.15 | $971,469.00 |
DisclosureSEC source: 0001562180-19-001046 · primarydocument.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB 10b5-1 filing: Not disclosed Ownership: Indirect · 2012 Ellen N. Bernard Family Trust Disclosed balance after: 67,500 F1 · price: The range of prices for this transaction were $97.13 to 97.201. Will provide upon request by the commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 16:29 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GrantCommon Stock | 15,719 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-19-001011 · primarydocument.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 651,532 F1 · shares: On February 13, 2019, the Executive Compensation and Management Development Committee certified that the performance threshold on certain performance-based restricted stock awards were met. The awards are settled in shares of common stock upon vesting. The awards vest in five equal annual installments beginning on February 28, 2019. Read SEC document |
| December 19, 2018 Filed Dec 20, 2018 20:48 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GiftCommon Stock | 24,050 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-036943 · form4.xml · nonDerivative · entry 2 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 635,813.783 Read SEC document |
| December 18, 2018 Filed Dec 20, 2018 20:48 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GiftCommon Stock | 2,925 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-036943 · form4.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 659,863.783 Read SEC document |
| December 10, 2018 Filed Dec 12, 2018 18:02 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Tax withholdingCommon Stock | 4,669 | $92.45 | $431,649.05 |
DisclosureSEC source: 0001127602-18-036025 · form4.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 662,788.783 Read SEC document |
| July 31, 2018 Filed Aug 1, 2018 19:23 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GrantCommon Stock | 149.061 | $118.49 | $17,661.55 |
DisclosureSEC source: 0001127602-18-024231 · form4.xml · nonDerivative · entry 2 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 667,457.783 F1 · price: Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the noted weighted-average price. Read SEC document |
| July 27, 2018 Filed Aug 1, 2018 19:23 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GiftCommon Stock | 815 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-024231 · form4.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 667,308.722 Read SEC document |
| June 20, 2018 Filed Jun 21, 2018 19:26 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GiftCommon Stock | 1,205 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-021667 · form4.xml · nonDerivative · entry 2 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 667,308.722 Read SEC document |
| June 20, 2018 Filed Jun 21, 2018 19:26 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GrantCommon Stock | 14.359 | $121.88 | $1,750.02 |
DisclosureSEC source: 0001127602-18-021667 · form4.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 668,513.722 F1 · price: Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the noted weighted-average price. Read SEC document |
| June 20, 2018 Filed Aug 1, 2018 19:21 UTC Amendment | PRICE T ROWE GROUP INC TROW · Entity 3212 | GiftCommon Stock | 390 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-024229 · form4a.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 668,123.722 F1 · shares: On June 20, 2019, it was reported that a total of 1,205 shares were gifted. Unfortunately, 815 shares were rejected and the shares came back into the account. Therefore, only a total of 390 shares were gifted on June 20, 2018. Read SEC document |
| May 22, 2018 Filed May 24, 2018 13:57 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GiftCommon Stock | 4,940 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-018652 · form4.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 668,499.363 Read SEC document |
| May 18, 2018 Filed May 21, 2018 19:54 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionStock Options (Right to Buy) · Derivative | 50,569 | $0.00 Strike: $67.56 | $0.00 |
DisclosureSEC source: 0001127602-18-018265 · form4.xml · derivative · entry 7 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,569 shares Expires 2021-02-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: 02/17/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2012. Read SEC document |
| May 18, 2018 Filed May 21, 2018 19:54 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GrantCommon Stock | 282.121 | $106.57 | $30,066.59 |
DisclosureSEC source: 0001127602-18-018265 · form4.xml · nonDerivative · entry 3 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 673,439.363 F1 · price: Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the noted weighted-average price. Read SEC document |
| May 18, 2018 Filed May 21, 2018 19:54 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Tax withholdingCommon Stock | 38,993 | $120.59 | $4,702,165.87 |
DisclosureSEC source: 0001127602-18-018265 · form4.xml · nonDerivative · entry 2 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 673,157.242 Read SEC document |
| May 18, 2018 Filed May 21, 2018 19:54 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionCommon Stock | 50,569 | $67.56 | $3,416,507.38 |
DisclosureSEC source: 0001127602-18-018265 · form4.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 712,150.242 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 08, 2017 Filed Dec 12, 2017 18:36 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Tax withholdingCommon Stock | 6,405 | $102.75 | $658,113.75 |
DisclosureSEC source: 0001127602-17-034486 · form4.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 661,581.242 F1 · shares: These shares were withheld to pay for taxes on restricted stock units that vested on 12/08/2017. Read SEC document |
| December 01, 2017 Filed Dec 4, 2017 20:05 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GrantCommon Stock | 162.442 | $90.92 | $14,769.97 |
DisclosureSEC source: 0001127602-17-033760 · form4.xml · nonDerivative · entry 2 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 667,986.242 F1 · price: Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the noted weighted-average price. Read SEC document |
| December 01, 2017 Filed Dec 4, 2017 20:05 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GiftCommon Stock | 8,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-033760 · form4.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 667,823.8 Read SEC document |
| September 06, 2017 Filed Sep 19, 2017 14:43 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GrantCommon Stock | 10,532 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-027657 · form4.xml · nonDerivative · entry 2 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 676,073.8 F2 · shares: On September 6, 2017, the Executive Compensation and Management Development Committee (ECMDC) formerly known as Executive Compensation Committee, certified that the performance threshold on certain performance-based restricted stock awards were met. The awards are settled in shares of common stock upon vesting. The awards vest in five equal annual installments beginning on December 8, 2017. Read SEC document |
| September 06, 2017 Filed Sep 19, 2017 14:43 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GrantCommon Stock | 468.992 | $71.97 | $33,751.53 |
DisclosureSEC source: 0001127602-17-027657 · form4.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 665,541.8 F1 · price: Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the noted weighted-average price. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 17:23 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GrantCommon Stock | 176.768 | $74.93 | $13,244.77 |
DisclosureSEC source: 0001127602-17-006777 · form4.xml · nonDerivative · entry 2 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 665,072.811 F2 · price: ESPP - Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the average price noted. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 17:23 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GrantCommon Stock | 10,319 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-006777 · form4.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 664,896.04 F1 · shares: On February 15, 2017, the Executive Compensation and Management Development Committee (ECMDC) formerly known as Executive Compensation Committee, certified that the performance threshold on certain performance-based restricted stock awards were met. The awards are settled in shares of common stock upon vesting. The awards vest in five equal annual installments beginning on December 8, 2017. Read SEC document |
| December 22, 2016 Filed Dec 22, 2016 19:39 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GiftCommon Stock | 46,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-070790 · form4.xml · nonDerivative · entry 2 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 654,577.04 Read SEC document |
| December 21, 2016 Filed Dec 22, 2016 19:39 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GiftCommon Stock | 5,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-070790 · form4.xml · nonDerivative · entry 1 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 700,977.04 Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionStock Options (Right to Buy) · Derivative | 1,479 | $0.00 Strike: $67.56 | $0.00 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · derivative · entry 24 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,569 Underlying: Common Stock · 1,479 shares Expires 2021-02-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_date: 02/17/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2012. Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionStock Options (Right to Buy) · Derivative | 2,098 | $0.00 Strike: $47.65 | $0.00 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · derivative · entry 23 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,098 shares Expires 2020-02-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: 02/18/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011. Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionStock Options (Right to Buy) · Derivative | 126 | $0.00 Strike: $43.37 | $0.00 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · derivative · entry 22 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 126 shares Expires 2019-09-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: 09/10/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010. Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionStock Options (Right to Buy) · Derivative | 3,684 | $0.00 Strike: $26.39 | $0.00 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · derivative · entry 21 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,684 shares Expires 2019-02-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: 2/12/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010. Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionStock Options (Right to Buy) · Derivative | 1,803 | $0.00 Strike: $54.83 | $0.00 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · derivative · entry 20 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,803 shares Expires 2018-09-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_date: 09/04/2008 Grant - The option vests 20% annually over a 5 year period beginning on 09/04/2009. Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionCommon Stock | 1,479 | $67.56 | $99,923.16 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · nonDerivative · entry 11 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 706,177.04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionCommon Stock | 2,098 | $47.65 | $99,964.25 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · nonDerivative · entry 10 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 704,698.04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionCommon Stock | 126 | $43.37 | $5,464.94 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · nonDerivative · entry 9 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 702,600.04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionCommon Stock | 3,684 | $26.39 | $97,215.23 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · nonDerivative · entry 8 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 702,474.04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionCommon Stock | 1,803 | $54.83 | $98,863.72 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · nonDerivative · entry 7 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 698,790.04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionStock Options (Right to Buy) · Derivative | 52,048 | $0.00 Strike: $48.56 | $0.00 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · derivative · entry 19 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 52,048 shares Expires 2021-09-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: 09/08/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2012. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionStock Options (Right to Buy) · Derivative | 52,048 | $0.00 Strike: $45.79 | $0.00 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · derivative · entry 18 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 52,048 shares Expires 2020-09-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: 09/08/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionStock Options (Right to Buy) · Derivative | 49,949 | $0.00 Strike: $47.65 | $0.00 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · derivative · entry 17 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,098 Underlying: Common Stock · 49,949 shares Expires 2020-02-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: 02/18/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionStock Options (Right to Buy) · Derivative | 51,921 | $0.00 Strike: $43.37 | $0.00 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · derivative · entry 16 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126 Underlying: Common Stock · 51,921 shares Expires 2019-09-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: 09/10/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionStock Options (Right to Buy) · Derivative | 48,363 | $0.00 Strike: $26.39 | $0.00 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · derivative · entry 15 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,684 Underlying: Common Stock · 48,363 shares Expires 2019-02-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: 2/12/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Tax withholdingCommon Stock | 198,958 | $76.00 | $15,120,808.00 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · nonDerivative · entry 6 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 696,987.04 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.