SEC Form 4 · accession 0001127602-16-070747
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher D Alderson
Officer — Vice President
Period of report
Dec 20, 2016
Accepted (ET)
Dec 22, 2016 · 9:53 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 Stock | Dec 20, 2016 | M | 83,278 | $54.8329 | A | 190,473 | D | |
| Common Stock | Dec 20, 2016 | M | 49,966 | $26.3885 | A | 240,439 | D | |
| Common Stock | Dec 20, 2016 | S | 133,244 | $77.67 | D | 107,195 | D | |
| Common Stock | Dec 21, 2016 | G | 5,000 | $0.00 | D | 102,195 | D | |
| Common Stock | holding | — | — | — | 262,000 | 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 | $54.8329 | Dec 20, 2016 | M | 83,278 | D | Sep 4, 2009 | Sep 4, 2018 | Common Stock | 83,278 | 0 | D |
| Stock Options (Right to Buy)F2 | $26.3885 | Dec 20, 2016 | M | 49,966 | D | Nov 1, 2010 | Feb 12, 2019 | Common Stock | 49,966 | 0 | D |
Explanation of responses
- F109/04/2008 Grant - The option vests 20% annually over a 5 year period beginning on 09/04/2009.
- F22/12/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010.