SEC Form 4 · accession 0001127602-15-034788
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
Dec 21, 2015
Accepted (ET)
Dec 22, 2015 · 3:39 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 | Dec 21, 2015 | M | 126 | $43.3725 | A | 1,365,217 | D | |
| Common Stock | Dec 21, 2015 | M | 2,098 | $47.6474 | A | 1,367,315 | 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)F1 | $43.3725 | Dec 21, 2015 | M | 126 | D | Nov 1, 2010 | Sep 10, 2019 | Common Stock | 126 | 51,921 | D |
| Stock Options (Right to Buy)F2 | $47.6474 | Dec 21, 2015 | M | 2,098 | D | Nov 1, 2011 | Feb 18, 2020 | Common Stock | 2,098 | 49,949 | D |
Explanation of responses
- F109/10/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010.
- F202/18/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.