SEC Form 4/A · accession 0001127602-17-023633
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
William J Stromberg
Officer — CEO and President · Director
Period of report
Jul 14, 2017
Accepted (ET)
Jul 17, 2017 · 3:43 pm EDT
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 | Jul 14, 2017 | A | 136 | $70.8432 | A | 497,580 | D | |
| Common Stock | Jul 14, 2017 | M | 51,921 | $43.3725 | A | 549,501 | D | |
| Common Stock | Jul 14, 2017 | F | 40,126 | $80.23 | D | 509,375 | D | |
| Common Stock | holding | — | — | — | 96,000 | I | 2016 Stromberg Family Trust | |
| Common Stock | holding | — | — | — | 400,000 | I | Lake Shore Partners LLC | |
| Common Stock | holding | — | — | — | 0 | I | William J. Stromberg Irrevocable Trust |
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 | $43.3725 | Jul 14, 2017 | M | 51,921 | D | Nov 1, 2010 | Sep 10, 2019 | Common Stock | 51,921 | 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.
- F209/10/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010.