SEC Form 4 · accession 0001127602-16-070429

PRICE T ROWE GROUP INC · TROW

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Vice COB & Vice President · Director

Period of report

Dec 15, 2016

Accepted (ET)

Dec 19, 2016 · 4:25 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 15, 2016	M	48,363	$26.3885	A	689,979	D
Common Stock	Dec 15, 2016	M	51,921	$43.3725	A	741,900	D
Common Stock	Dec 15, 2016	M	49,949	$47.6474	A	791,849	D
Common Stock	Dec 15, 2016	M	52,048	$45.7933	A	843,897	D
Common Stock	Dec 15, 2016	M	52,048	$48.56	A	895,945	D
Common Stock	Dec 15, 2016	F	198,958	$76.00	D	696,987	D
Common Stock	Dec 16, 2016	M	1,803	$54.8329	A	698,790	D
Common Stock	Dec 16, 2016	M	3,684	$26.3885	A	702,474	D
Common Stock	Dec 16, 2016	M	126	$43.3725	A	702,600	D
Common Stock	Dec 16, 2016	M	2,098	$47.6474	A	704,698	D
Common Stock	Dec 16, 2016	M	1,479	$67.5613	A	706,177	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

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options (Right to Buy)^F1	$26.3885	Dec 15, 2016	M	48,363	D	Nov 1, 2010	Feb 12, 2019	Common Stock	48,363	3,684	D
Stock Options (Right to Buy)^F2	$43.3725	Dec 15, 2016	M	51,921	D	Nov 1, 2010	Sep 10, 2019	Common Stock	51,921	126	D
Stock Options (Right to Buy)^F3	$47.6474	Dec 15, 2016	M	49,949	D	Nov 1, 2011	Feb 18, 2020	Common Stock	49,949	2,098	D
Stock Options (Right to Buy)^F4	$45.7933	Dec 15, 2016	M	52,048	D	Nov 1, 2011	Sep 8, 2020	Common Stock	52,048	0	D
Stock Options (Right to Buy)^F5	$48.56	Dec 15, 2016	M	52,048	D	Nov 1, 2012	Sep 8, 2021	Common Stock	52,048	0	D
Stock Options (Right to Buy)^F6	$54.8329	Dec 16, 2016	M	1,803	D	Sep 4, 2009	Sep 4, 2018	Common Stock	1,803	0	D
Stock Options (Right to Buy)^F1	$26.3885	Dec 16, 2016	M	3,684	D	Nov 1, 2010	Feb 12, 2019	Common Stock	3,684	0	D
Stock Options (Right to Buy)^F2	$43.3725	Dec 16, 2016	M	126	D	Nov 1, 2010	Sep 10, 2019	Common Stock	126	0	D
Stock Options (Right to Buy)^F3	$47.6474	Dec 16, 2016	M	2,098	D	Nov 1, 2011	Feb 18, 2020	Common Stock	2,098	0	D
Stock Options (Right to Buy)^F7	$67.5613	Dec 16, 2016	M	1,479	D	Nov 1, 2012	Feb 17, 2021	Common Stock	1,479	50,569	D

F12/12/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010.
F209/10/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010.
F302/18/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.
F409/08/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.
F509/08/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2012.
F609/04/2008 Grant - The option vests 20% annually over a 5 year period beginning on 09/04/2009.
F702/17/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2012.