SEC Form 4 · accession 0001127602-17-024731
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian C Rogers
Other
Period of report
Aug 1, 2017
Accepted (ET)
Aug 2, 2017 · 4:16 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 Stock | Aug 1, 2017 | M | 51,921 | $43.3725 | A | 2,316,807 | D | |
| Common Stock | Aug 1, 2017 | M | 52,048 | $45.7933 | A | 2,368,855 | D | |
| Common StockF1 | Aug 1, 2017 | F | 63,546 | $83.15 | D | 2,305,309 | D | |
| Common Stock | holding | — | — | — | 150,000 | I | 2012 Rogers Family Trust | |
| Common Stock | holding | — | — | — | 200,000 | 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)F2 | $43.3725 | Aug 1, 2017 | M | 51,921 | D | Nov 1, 2010 | Sep 10, 2019 | Common Stock | 51,921 | 0 | D |
| Stock Options (Right to Buy)F3 | $45.7933 | Aug 1, 2017 | M | 52,048 | D | Nov 1, 2011 | Sep 8, 2020 | Common Stock | 52,048 | 0 | D |
Explanation of responses
- F1Due to departure as an employee, holdings have been reduced by 2,310 shares that were forfeited.
- F209/10/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010.
- F309/08/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.