SEC Form 4 · accession 0001127602-15-026905
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian C Rogers
Officer — COB, CIO & Vice President · Director
Period of report
Sep 9, 2015
Accepted (ET)
Sep 11, 2015 · 2:45 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 | 4,500 | $0.00 | A | 2,169,110 | D | |
| Common Stock | holding | — | — | — | 150,000 | I | 2012 Rogers Family Trust | |
| Common Stock | holding | — | — | — | 200,000 | 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,F2 | $44.3716 | holding | — | — | — | Nov 1, 2007 | Nov 1, 2016 | Common Stock | 101,728 | 101,728 | D |
| Stock Options (Right to Buy)F3,F4 | $48.0508 | holding | — | — | — | Sep 6, 2008 | Sep 6, 2017 | Common Stock | 102,057 | 102,057 | D |
| Stock Options (Right to Buy)F3,F5 | $54.8329 | holding | — | — | — | Sep 4, 2009 | Sep 4, 2018 | Common Stock | 102,293 | 102,293 | D |
| Stock Options (Right to Buy)F3,F6 | $43.3725 | holding | — | — | — | Nov 1, 2010 | Sep 10, 2019 | Common Stock | 52,047 | 52,047 | D |
| Stock Options (Right to Buy)F3,F7 | $47.6474 | holding | — | — | — | Nov 1, 2011 | Feb 18, 2020 | Common Stock | 52,047 | 52,047 | D |
| Stock Options (Right to Buy)F3,F8 | $45.7933 | holding | — | — | — | Nov 1, 2011 | Sep 8, 2020 | Common Stock | 52,048 | 52,048 | D |
| Stock Options (Right to Buy)F3,F9 | $67.5613 | holding | — | — | — | Nov 1, 2012 | Feb 17, 2021 | Common Stock | 52,048 | 52,048 | D |
| Stock Options (Right to Buy)F3,F10 | $48.56 | holding | — | — | — | Nov 1, 2012 | Sep 8, 2021 | Common Stock | 52,048 | 52,048 | D |
| Stock Options (Right to Buy)F3,F11 | $59.0693 | holding | — | — | — | Dec 10, 2013 | Feb 23, 2022 | Common Stock | 26,023 | 26,023 | D |
| Stock Options (Right to Buy)F3,F12 | $60.7984 | holding | — | — | — | Dec 10, 2013 | Sep 6, 2022 | Common Stock | 23,421 | 23,421 | D |
| Stock Options (Right to Buy)F14,F13 | $69.6708 | holding | — | — | — | Dec 10, 2014 | Feb 21, 2023 | Common Stock | 23,060 | 23,060 | D |
| Stock Options (Right to Buy)F14,F15 | $70.2854 | holding | — | — | — | Dec 10, 2014 | Sep 10, 2023 | Common Stock | 16,399 | 16,399 | D |
| Stock Options (Right to Buy)F14,F16 | $77.9443 | holding | — | — | — | Dec 10, 2015 | Feb 19, 2024 | Common Stock | 17,936 | 17,936 | D |
| Stock Options (Right to Buy)F14,F17 | $78.4418 | holding | — | — | — | Dec 10, 2015 | Sep 9, 2024 | Common Stock | 15,374 | 15,374 | D |
| Stock Options (Right to Buy)F14,F18 | $80.9492 | holding | — | — | — | Dec 9, 2016 | Feb 19, 2025 | Common Stock | 12,811 | 12,811 | 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.
- F1009/08/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2012.
- F1102/23/2012 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2013.
- F1209/06/2012 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2013.
- F1302/21/2013 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2014.
- F14As 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.
- F1509/10/2013 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2014.
- F1602/19/2014 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2015.
- F1709/09/2014 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2015.
- F1802/19/2015 Grant - The option vests 20% annually over a 5 year period beginning on 12/09/2016.
- F211/01/2006 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2007.
- 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.
- F409/06/2007 Grant - The option vests 20% annually over a 5 year period beginning on September 06, 2008.
- F509/04/2008 Grant - The option vests 20% annually over a 5 year period beginning on 09/04/2009.
- F609/10/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010.
- F702/18/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.
- F809/08/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.
- F902/17/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2012.