SEC Form 4 · accession 0001127602-15-026900
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher D Alderson
Officer — Vice President
Period of report
Sep 9, 2015
Accepted (ET)
Sep 11, 2015 · 2:34 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 | Sep 9, 2015 | A | 6,000 | $0.00 | A | 107,768 | D | |
| Common StockF2 | Sep 10, 2015 | A | 154 | $79.4893 | A | 107,922 | D | |
| Common Stock | holding | — | — | — | 262,000 | I | Spouse |
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 | $70.92 | Sep 10, 2015 | A | 20,000 | A | Dec 9, 2016 | Sep 10, 2025 | Common Stock | 20,000 | 20,000 | D |
| Stock Options (Right to Buy)F5,F4 | $44.3716 | holding | — | — | — | Nov 1, 2007 | Nov 1, 2016 | Common Stock | 76,783 | 76,783 | D |
| Stock Options (Right to Buy)F5,F6 | $48.0508 | holding | — | — | — | Sep 6, 2008 | Sep 6, 2017 | Common Stock | 72,867 | 72,867 | D |
| Stock Options (Right to Buy)F5,F7 | $54.8329 | holding | — | — | — | Sep 4, 2009 | Sep 4, 2018 | Common Stock | 83,278 | 83,278 | D |
| Stock Options (Right to Buy)F5,F8 | $26.3885 | holding | — | — | — | Nov 1, 2010 | Feb 12, 2019 | Common Stock | 49,966 | 49,966 | D |
| Stock Options (Right to Buy)F5,F9 | $43.3725 | holding | — | — | — | Nov 1, 2010 | Sep 10, 2019 | Common Stock | 49,966 | 49,966 | D |
| Stock Options (Right to Buy)F5,F10 | $47.6474 | holding | — | — | — | Nov 1, 2011 | Feb 18, 2020 | Common Stock | 41,639 | 41,639 | D |
| Stock Options (Right to Buy)F5,F11 | $45.7933 | holding | — | — | — | Nov 1, 2011 | Sep 8, 2020 | Common Stock | 41,639 | 41,639 | D |
| Stock Options (Right to Buy)F5,F12 | $67.5613 | holding | — | — | — | Nov 1, 2012 | Feb 17, 2021 | Common Stock | 40,921 | 40,921 | D |
| Stock Options (Right to Buy)F5,F13 | $48.56 | holding | — | — | — | Nov 1, 2012 | Sep 8, 2021 | Common Stock | 41,639 | 41,639 | D |
| Stock Options (Right to Buy)F5,F14 | $59.0693 | holding | — | — | — | Dec 10, 2013 | Feb 23, 2022 | Common Stock | 20,819 | 20,819 | D |
| Stock Options (Right to Buy)F5,F15 | $60.7984 | holding | — | — | — | Dec 10, 2013 | Sep 6, 2022 | Common Stock | 20,819 | 20,819 | D |
| Stock Options (Right to Buy)F17,F16 | $69.6708 | holding | — | — | — | Dec 10, 2014 | Feb 21, 2023 | Common Stock | 20,499 | 20,499 | D |
| Stock Options (Right to Buy)F17,F18 | $70.2854 | holding | — | — | — | Dec 10, 2014 | Sep 10, 2023 | Common Stock | 20,499 | 20,499 | D |
| Stock Options (Right to Buy)F17,F19 | $77.9443 | holding | — | — | — | Dec 10, 2015 | Feb 19, 2024 | Common Stock | 20,499 | 20,499 | D |
| Stock Options (Right to Buy)F17,F20 | $78.4418 | holding | — | — | — | Dec 10, 2015 | Sep 9, 2024 | Common Stock | 20,499 | 20,499 | D |
| Stock Options (Right to Buy)F17,F21 | $80.9492 | holding | — | — | — | Dec 9, 2016 | Feb 19, 2025 | Common Stock | 20,499 | 20,499 | D |
Explanation of responses
- F1On September 09, 2015, 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 10, 2015.
- F102/18/2010 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 11/01/2012.
- F1402/23/2012 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2013.
- F1509/06/2012 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2013.
- F1602/21/2013 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2014.
- F17As required under the relevant plan and option agreements, the strike price and number of shares subject to outstanding stock options were adjusted by 2.5% on April 7, 2015, the ex-dividend date, as a result of a special dividend that was declared by T. Rowe Price Group, Inc.
- F1809/10/2013 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2014.
- F1902/19/2014 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2015.
- F2Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the noted weighted-average price.
- F2009/09/2014 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2015.
- F2102/19/2015 Grant - The option vests 20% annually over a 5 year period beginning on 12/09/2016.
- F309/10/2015 Grant - The option vests 20% annually over a 5 year period beginning on 12/09/2016.
- F411/01/2006 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2007.
- F5As 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.
- F609/06/2007 Grant - The option vests 20% annually over a 5 year period beginning on 09/06/2008.
- 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.