SEC Form 4 · accession 0001127602-15-026907
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William W Strickland Jr.
Officer — Vice President
Period of report
Sep 10, 2015
Accepted (ET)
Sep 11, 2015 · 2:49 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 10, 2015 | A | 471 | $79.902 | A | 31,304 | D | |
| Common Stock | Sep 10, 2015 | A | 2,400 | $0.00 | A | 33,704 | 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)F2 | $70.92 | Sep 10, 2015 | A | 8,000 | A | Dec 9, 2016 | Sep 10, 2020 | Common Stock | 8,000 | 8,000 | D |
| Stock Options (Right to Buy)F4,F3 | $31.3358 | holding | — | — | — | Oct 3, 2006 | Oct 3, 2015 | Common Stock | 1,040 | 1,040 | D |
| Stock Options (Right to Buy)F4,F5 | $48.0508 | holding | — | — | — | Sep 6, 2008 | Sep 6, 2017 | Common Stock | 4,161 | 4,161 | D |
| Stock Options (Right to Buy)F4,F6 | $54.8329 | holding | — | — | — | Sep 4, 2009 | Sep 4, 2018 | Common Stock | 10,408 | 10,408 | D |
| Stock Options (Right to Buy)F4,F7 | $26.3885 | holding | — | — | — | Nov 1, 2010 | Feb 12, 2019 | Common Stock | 7,493 | 7,493 | D |
| Stock Options (Right to Buy)F4,F8 | $43.3725 | holding | — | — | — | Nov 1, 2010 | Sep 10, 2019 | Common Stock | 9,367 | 9,367 | D |
| Stock Options (Right to Buy)F4,F9 | $47.6474 | holding | — | — | — | Nov 1, 2011 | Feb 18, 2020 | Common Stock | 7,806 | 7,806 | D |
| Stock Options (Right to Buy)F4,F10 | $45.7933 | holding | — | — | — | Nov 1, 2011 | Sep 8, 2020 | Common Stock | 7,805 | 7,805 | D |
| Stock Options (Right to Buy)F4,F11 | $67.5613 | holding | — | — | — | Nov 1, 2012 | Feb 17, 2021 | Common Stock | 7,806 | 7,806 | D |
| Stock Options (Right to Buy)F4,F12 | $48.56 | holding | — | — | — | Nov 1, 2012 | Sep 8, 2021 | Common Stock | 7,807 | 7,807 | D |
| Stock Options (Right to Buy)F4,F13 | $59.0693 | holding | — | — | — | Dec 10, 2013 | Feb 23, 2022 | Common Stock | 3,901 | 3,901 | D |
| Stock Options (Right to Buy)F4,F14 | $60.7984 | holding | — | — | — | Dec 10, 2013 | Sep 6, 2022 | Common Stock | 3,901 | 3,901 | D |
| Stock Options (Right to Buy)F16,F15 | $69.6708 | holding | — | — | — | Dec 10, 2014 | Feb 21, 2023 | Common Stock | 4,099 | 4,099 | D |
| Stock Options (Right to Buy)F16,F17 | $70.2854 | holding | — | — | — | Dec 10, 2014 | Sep 10, 2023 | Common Stock | 4,098 | 4,098 | D |
| Stock Options (Right to Buy)F16,F18 | $77.9443 | holding | — | — | — | Dec 10, 2015 | Feb 19, 2024 | Common Stock | 5,123 | 5,123 | D |
| Stock Options (Right to Buy)F16,F19 | $78.4418 | holding | — | — | — | Dec 10, 2015 | Sep 9, 2024 | Common Stock | 8,199 | 8,199 | D |
| Stock Options (Right to Buy)F16,F20 | $80.9492 | holding | — | — | — | Dec 9, 2016 | Feb 19, 2025 | Common Stock | 8,199 | 8,199 | D |
Explanation of responses
- F1Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the noted weighted-average price.
- F1009/08/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.
- F1102/17/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2012.
- F1209/08/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2012.
- F1302/23/2012 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2013.
- F1409/06/2012 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.
- F16As 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.
- F1709/10/2013 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2014.
- F1802/19/2014 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2015.
- F1909/09/2014 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2015.
- F209/10/2015 Grant - The option vests 20% annually over a 5 year period beginning on 12/09/2016.
- F2002/19/2015 Grant - The option vests 20% annually over a 5 year period beginning on 12/09/2016.
- F310/03/2005 Grant - The option vests 20% annually over a 5 year period beginning on 10/03/2006.
- F4As 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.
- F509/06/2007 Grant - The option vests 20% annually over a 5 year period beginning on 09/06/2008.
- F609/04/2008 Grant - The option vests 20% annually over a 5 year period beginning on 09/04/2009.
- F702/12/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010.
- F809/10/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010.
- F902/18/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.