SEC Form 4 · accession 0001127602-16-069066
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William J Stromberg
Officer — CEO and President · Director
Period of report
Dec 2, 2016
Accepted (ET)
Dec 5, 2016 · 11:32 am 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 StockF1 | Dec 2, 2016 | A | 16 | $74.2446 | A | 470,781 | D | |
| Common Stock | Dec 2, 2016 | M | 48,363 | $26.3885 | A | 519,144 | D | |
| Common Stock | Dec 2, 2016 | F | 32,809 | $75.48 | D | 486,335 | D | |
| Common Stock | holding | — | — | — | 96,000 | I | 2016 Stromberg Family Trust | |
| Common Stock | holding | — | — | — | 400,000 | I | Lake Shore Partners LLC (GRAT) | |
| Common Stock | holding | — | — | — | 0 | I | William J. Stromberg Irrevocable Trust |
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 | $26.3885 | Dec 2, 2016 | M | 48,363 | D | Nov 1, 2010 | Feb 12, 2019 | Common Stock | 48,363 | 0 | D |
Explanation of responses
- F1Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the noted weighted-average price.
- F22/12/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010.