SEC Form 4 · accession 0001127602-17-028481
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Oestreicher
Officer — Corp Secretary and VP
Period of report
Sep 27, 2017
Accepted (ET)
Sep 29, 2017 · 1:35 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 | Sep 27, 2017 | A | 41 | $83.2981 | A | 71,946 | D | |
| Common Stock | Sep 27, 2017 | M | 4,163 | $59.0693 | A | 76,109 | D | |
| Common Stock | Sep 27, 2017 | M | 4,163 | $60.7984 | A | 80,272 | D | |
| Common Stock | Sep 27, 2017 | F | 6,622 | $88.09 | D | 73,650 | 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 | $59.0693 | Sep 27, 2017 | M | 4,163 | D | — | Feb 23, 2022 | Common Stock | 4,163 | 1,040 | D |
| Stock Options (Right to Buy)F3 | $60.7984 | Sep 27, 2017 | M | 4,163 | D | — | Sep 6, 2022 | Common Stock | 4,163 | 1,040 | D |
Explanation of responses
- F1Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the noted weighted-average price.
- F202/23/2012 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2013.
- F309/06/2012 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2013.