SEC Form 4 · accession 0001127602-16-063957
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
Oct 3, 2016
Accepted (ET)
Oct 4, 2016 · 2:25 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 Stock | Oct 3, 2016 | M | 101,728 | $44.3716 | A | 2,281,015 | D | |
| Common Stock | Oct 3, 2016 | F | 50,750 | $66.45 | D | 2,230,265 | 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)F1 | $44.3716 | Oct 3, 2016 | M | 101,728 | D | Nov 1, 2007 | Nov 1, 2016 | Common Stock | 101,728 | 0 | D |
Explanation of responses
- F111/01/2006 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2007.