SEC Form 4 · accession 0001127602-15-026909
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jessica M Hiebler
Officer — Principal Accounting Officer
Period of report
Sep 10, 2015
Accepted (ET)
Sep 11, 2015 · 2:56 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 | 191 | $79.8609 | A | 6,537 | D | |
| Common Stock | Sep 10, 2015 | A | 600 | $0.00 | A | 7,137 | 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 | 2,000 | A | Dec 9, 2016 | Sep 10, 2025 | Common Stock | 2,000 | 2,000 | D |
| Stock Options (Right to Buy)F4,F3 | $59.0693 | holding | — | — | — | Dec 10, 2013 | Feb 23, 2022 | Common Stock | 1,456 | 1,456 | D |
| Stock Options (Right to Buy)F4,F5 | $60.7984 | holding | — | — | — | Dec 10, 2013 | Sep 6, 2022 | Common Stock | 1,456 | 1,456 | D |
| Stock Options (Right to Buy)F7,F6 | $69.6708 | holding | — | — | — | Dec 10, 2014 | Feb 21, 2023 | Common Stock | 1,537 | 1,537 | D |
| Stock Options (Right to Buy)F7,F8 | $70.2854 | holding | — | — | — | Dec 10, 2014 | Sep 10, 2023 | Common Stock | 1,537 | 1,537 | D |
| Stock Options (Right to Buy)F7,F9 | $77.9443 | holding | — | — | — | Dec 10, 2015 | Feb 19, 2024 | Common Stock | 1,639 | 1,639 | D |
| Stock Options (Right to Buy)F7,F10 | $78.4418 | holding | — | — | — | Dec 10, 2015 | Sep 10, 2024 | Common Stock | 1,638 | 1,638 | D |
| Stock Options (Right to Buy)F7,F11 | $80.9492 | holding | — | — | — | Dec 9, 2016 | Feb 19, 2025 | Common Stock | 2,049 | 2,049 | D |
Explanation of responses
- F1Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the noted weighted-average price.
- F1009/10/2014 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2015.
- F1102/19/2015 Grant - The option vests 20% annually over a 5 year period beginning on 12/09/2016.
- F209/10/2015 Grant - The option vests 20% annually over a 5 year period beginning on 12/09/2016.
- F302/23/2012 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2013.
- 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.
- F509/06/2012 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2013.
- F602/21/2013 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2014.
- F7As 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.
- F809/10/2013 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2014.
- F902/19/2014 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2015.