SEC Form 4 · accession 0001127602-15-025783
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth V Moreland
Officer — CFO & Vice President
Period of report
Aug 24, 2015
Accepted (ET)
Aug 25, 2015 · 4:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001113169
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 24, 2015 | A | 269 | $80.2959 | A | 75,056 | D | |
| Common Stock | Aug 24, 2015 | M | 3,122 | $31.3358 | A | 78,178 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F3,F2 | $31.3358 | Aug 24, 2015 | M | 3,122 | D | Oct 3, 2006 | Oct 3, 2015 | Common Stock | 3,122 | 0 | D |
| Stock Options (Right to Buy)F3,F4 | $60.7984 | holding | — | — | — | — | Sep 6, 2022 | Common Stock | 6,504 | 6,504 | D |
| Stock Options (Right to Buy)F3,F5 | $44.3716 | holding | — | — | — | Nov 1, 2007 | Nov 1, 2016 | Common Stock | 41,637 | 41,637 | D |
| Stock Options (Right to Buy)F3,F6 | $48.0508 | holding | — | — | — | Sep 6, 2008 | Sep 6, 2017 | Common Stock | 41,637 | 41,637 | D |
| Stock Options (Right to Buy)F3,F7 | $54.8329 | holding | — | — | — | Sep 4, 2009 | Sep 4, 2018 | Common Stock | 36,432 | 36,432 | D |
| Stock Options (Right to Buy)F3,F8 | $26.3885 | holding | — | — | — | Nov 1, 2010 | Feb 12, 2019 | Common Stock | 18,735 | 18,735 | D |
| Stock Options (Right to Buy)F3,F9 | $43.3725 | holding | — | — | — | Nov 1, 2010 | Sep 10, 2019 | Common Stock | 18,736 | 18,736 | D |
| Stock Options (Right to Buy)F3,F10 | $47.6474 | holding | — | — | — | Nov 1, 2011 | Feb 18, 2020 | Common Stock | 14,572 | 14,572 | D |
| Stock Options (Right to Buy)F3,F11 | $45.7933 | holding | — | — | — | Nov 1, 2011 | Sep 8, 2020 | Common Stock | 14,572 | 14,572 | D |
| Stock Options (Right to Buy)F3,F12 | $67.5613 | holding | — | — | — | Nov 1, 2012 | Feb 17, 2021 | Common Stock | 13,011 | 13,011 | D |
| Stock Options (Right to Buy)F3,F13 | $48.56 | holding | — | — | — | Nov 1, 2012 | Sep 8, 2021 | Common Stock | 13,011 | 13,011 | D |
| Stock Options (Right to Buy)F3,F14 | $59.0693 | holding | — | — | — | Dec 10, 2013 | Feb 23, 2022 | Common Stock | 6,504 | 6,504 | D |
| Stock Options (Right to Buy)F3,F15 | $69.6708 | holding | — | — | — | Dec 10, 2014 | Feb 21, 2023 | Common Stock | 6,148 | 6,148 | D |
| Stock Options (Right to Buy)F3,F16 | $70.2854 | holding | — | — | — | Dec 10, 2014 | Sep 10, 2023 | Common Stock | 6,148 | 6,148 | D |
| Stock Options (Right to Buy)F3,F17 | $77.9443 | holding | — | — | — | Dec 10, 2015 | Feb 19, 2024 | Common Stock | 5,892 | 5,892 | D |
| Stock Options (Right to Buy)F3,F18 | $78.4418 | holding | — | — | — | Dec 10, 2015 | Sep 9, 2024 | Common Stock | 5,893 | 5,893 | D |
| Stock Options (Right to Buy)F3,F19 | $80.9492 | holding | — | — | — | Dec 9, 2016 | Feb 19, 2025 | Common Stock | 5,892 | 5,892 | D |
Explanation of responses
- F1Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the noted weighted-average price.
- F1002/18/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.
- F1109/08/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.
- F1202/17/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2012.
- F1309/08/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.
- F1402/23/2012 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2013.
- F1502/21/2013 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2014.
- F1609/10/2013 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2014.
- F1702/19/2014 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2015.
- F1809/09/2014 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2015.
- F1902/19/2015 Grant - The option vests 20% annually over a 5 year period beginning on 12/09/2016.
- F210/03/2005 Grant - The option vests 20% annually over a 5 year period beginning on 10/03/2006.
- F3As required under the relevant plan and option agreements, the strike price and number of shares subject to outstanding stock options were adjusted by 1.56% on December 13, 2012, and by 2.5% on April 7, 2015, the ex-dividend dates, as a result of special dividends that were declared by T. Rowe Price Group, Inc.
- F409/06/2012 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2013.
- F511/01/2006 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2007.
- F609/06/2007 Grant - The option vests 20% annually over a 5 year period beginning on September 06, 2008.
- F709/04/2008 Grant - The option vests 20% annually over a 5 year period beginning on 09/04/2009.
- F82/12/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010.
- F909/10/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010.