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 |
|---|---|---|---|---|---|---|
| December 15, 2016 Filed Dec 19, 2016 21:25 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionCommon Stock | 52,048 | $48.56 | $2,527,450.88 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · nonDerivative · entry 5 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 895,945.04 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 / conversionCommon Stock | 52,048 | $45.79 | $2,383,449.68 |
DisclosureSEC source: 0001127602-16-070429 · form4.xml · nonDerivative · entry 4 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 843,897.04 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 / conversionCommon Stock | 49,949 | $47.65 | $2,379,939.98 |
DisclosureSEC source: 0001127602-16-070429 · 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: 791,849.04 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 / conversionCommon Stock | 51,921 | $43.37 | $2,251,943.57 |
DisclosureSEC source: 0001127602-16-070429 · 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: 741,900.04 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 / conversionCommon Stock | 48,363 | $26.39 | $1,276,227.03 |
DisclosureSEC source: 0001127602-16-070429 · 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: 689,979.04 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 09, 2016 Filed Dec 13, 2016 18:21 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Tax withholdingCommon Stock | 4,507 | $76.60 | $345,236.20 |
DisclosureSEC source: 0001127602-16-069847 · 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: 641,616.04 F1 · shares: These shares were withheld to pay for taxes on restricted stock units that vested on 12/09/2016. Read SEC document |
| December 06, 2016 Filed Dec 8, 2016 19:46 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionStock Options (Right to Buy) · Derivative | 102,293 | $0.00 Strike: $54.83 | $0.00 |
DisclosureSEC source: 0001127602-16-069483 · form4.xml · derivative · entry 8 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,803 Underlying: Common Stock · 102,293 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. F2 · 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 06, 2016 Filed Dec 8, 2016 19:46 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GiftCommon Stock | 13,395 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-069483 · form4.xml · nonDerivative · entry 4 BERNARD EDWARD C · CIK 0001203065 · Director · Vice COB & Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 646,123.04 Read SEC document |
| December 06, 2016 Filed Dec 8, 2016 19:46 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Tax withholdingCommon Stock | 88,161 | $76.09 | $6,708,170.49 |
DisclosureSEC source: 0001127602-16-069483 · 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: 659,518.04 Read SEC document |
| December 06, 2016 Filed Dec 8, 2016 19:46 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | Exercise / conversionCommon Stock | 102,293 | $54.83 | $5,609,021.84 |
DisclosureSEC source: 0001127602-16-069483 · 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: 747,679.04 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 06, 2016 Filed Dec 8, 2016 19:46 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GrantCommon Stock | 205.54 | $66.74 | $13,717.04 |
DisclosureSEC source: 0001127602-16-069483 · 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: 645,386.04 F1 · price: ESPP - Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the average price noted. Read SEC document |
| September 07, 2016 Filed Sep 9, 2016 12:15 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GrantCommon Stock | 4,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-062297 · 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: 645,180.5 F2 · shares: On September 7, 2016, the 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 9, 2016. Read SEC document |
| September 07, 2016 Filed Sep 9, 2016 12:15 UTC | PRICE T ROWE GROUP INC TROW · Entity 3212 | GrantCommon Stock | 437.372 | $72.44 | $31,682.27 |
DisclosureSEC source: 0001127602-16-062297 · 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: 640,680.5 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.