SEC Form 4 · accession 0001127602-16-069483
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward C Bernard
Officer — Vice COB & Vice President · Director
Period of report
Dec 6, 2016
Accepted (ET)
Dec 8, 2016 · 2:46 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 StockF1 | Dec 6, 2016 | A | 206 | $66.7366 | A | 645,386 | D | |
| Common Stock | Dec 6, 2016 | M | 102,293 | $54.8329 | A | 747,679 | D | |
| Common Stock | Dec 6, 2016 | F | 88,161 | $76.09 | D | 659,518 | D | |
| Common Stock | Dec 6, 2016 | G | 13,395 | $0.00 | D | 646,123 | D | |
| Common Stock | holding | — | — | — | 77,500 | I | 2012 Ellen N. Bernard Family Trust | |
| Common Stock | holding | — | — | — | 201,963 | I | 2008 Bernard Family Trust | |
| Common Stock | holding | — | — | — | 60,500 | I | By 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)F2 | $54.8329 | Dec 6, 2016 | M | 102,293 | D | Sep 4, 2009 | Sep 4, 2018 | Common Stock | 102,293 | 1,803 | D |
Explanation of responses
- F1ESPP - Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the average price noted.
- F209/04/2008 Grant - The option vests 20% annually over a 5 year period beginning on 09/04/2009.