SEC Form 4 · accession 0001127602-16-069500
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Oestreicher
Officer — Corp Secretary and VP
Period of report
Dec 7, 2016
Accepted (ET)
Dec 8, 2016 · 4:13 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 7, 2016 | A | 20 | $74.246 | A | 65,669 | D | |
| Common Stock | Dec 7, 2016 | M | 8,327 | $47.6474 | A | 73,996 | D | |
| Common Stock | Dec 7, 2016 | M | 2,409 | $45.7933 | A | 76,405 | D | |
| Common Stock | Dec 7, 2016 | F | 8,059 | $77.35 | D | 68,346 | D |
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 | $47.6474 | Dec 7, 2016 | M | 8,327 | D | — | Feb 18, 2020 | Common Stock | 8,327 | 2,081 | D |
| Stock Options (Right to Buy)F3 | $45.7933 | Dec 7, 2016 | M | 2,409 | D | — | Sep 8, 2020 | Common Stock | 2,409 | 8,000 | D |
Explanation of responses
- F1Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the noted weighted-average price.
- F202/18/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.
- F309/08/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.