SEC Form 4 · accession 0001127602-17-009913
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth V Moreland
Officer — CFO & Vice President
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 7:48 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 | Mar 1, 2017 | A | 24 | $71.4877 | A | 106,265 | D | |
| Common Stock | Mar 1, 2017 | M | 18,735 | $26.3885 | A | 125,000 | D | |
| Common Stock | Mar 1, 2017 | M | 18,736 | $43.3725 | A | 143,736 | D | |
| Common Stock | Mar 1, 2017 | M | 14,572 | $47.6474 | A | 158,308 | D | |
| Common Stock | Mar 1, 2017 | M | 14,572 | $45.7933 | A | 172,880 | D | |
| Common Stock | Mar 1, 2017 | M | 13,011 | $48.56 | A | 185,891 | D | |
| Common Stock | Mar 1, 2017 | F | 61,205 | $72.53 | D | 124,686 | 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 | $26.3885 | Mar 1, 2017 | M | 18,735 | D | Nov 1, 2010 | Feb 12, 2019 | Common Stock | 18,735 | 0 | D |
| Stock Options (Right to Buy)F3 | $43.3725 | Mar 1, 2017 | M | 18,736 | D | Nov 1, 2010 | Sep 10, 2019 | Common Stock | 18,736 | 0 | D |
| Stock Options (Right to Buy)F4 | $47.6474 | Mar 1, 2017 | M | 14,572 | D | Nov 1, 2011 | Feb 18, 2020 | Common Stock | 14,572 | 0 | D |
| Stock Options (Right to Buy)F5 | $45.7933 | Mar 1, 2017 | M | 14,572 | D | Nov 1, 2011 | Sep 8, 2020 | Common Stock | 14,572 | 0 | D |
| Stock Options (Right to Buy)F6 | $48.56 | Mar 1, 2017 | M | 13,011 | D | Nov 1, 2012 | Sep 8, 2021 | Common Stock | 13,011 | 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.
- F309/10/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010.
- F402/18/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.
- F509/08/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.
- F609/08/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2012.