SEC Form 4 · accession 0001127602-15-031801
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A C Kennedy
Officer — CEO & President · Director
Period of report
Nov 17, 2015
Accepted (ET)
Nov 18, 2015 · 12:19 pm EST
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 Stock | Nov 17, 2015 | M | 101,728 | $44.3716 | A | 1,500,294 | D | |
| Common StockF1 | Nov 17, 2015 | S | 101,728 | $74.7024 | D | 1,398,566 | D | |
| Common Stock | holding | — | — | — | 877,254 | I | 2008 Kennedy Family Trust | |
| Common Stock | holding | — | — | — | 445,545 | I | James A.C. Kennedy LLC |
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 | $44.3716 | Nov 17, 2015 | M | 101,728 | D | Nov 1, 2007 | Nov 1, 2016 | Common Stock | 101,728 | 0 | D |
Explanation of responses
- F1The ranges of prices for this transaction were $74.60 to 75.1067. Will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F211/01/2006 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2007.