SEC Form 4 · accession 0001127602-17-028591
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
W. Sharps Robert
Officer — Vice President
Period of report
Sep 28, 2017
Accepted (ET)
Oct 2, 2017 · 3:18 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 28, 2017 | A | 74 | $86.7656 | A | 471,630 | D | |
| Common Stock | Sep 28, 2017 | M | 20,000 | $47.6474 | A | 491,630 | D | |
| Common Stock | Sep 28, 2017 | M | 11,639 | $48.56 | A | 503,269 | D | |
| Common Stock | Sep 28, 2017 | F | 24,323 | $90.13 | D | 478,946 | D | |
| Common Stock | Sep 28, 2017 | G | 2,000 | $0.00 | D | 476,946 | 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 | $47.6474 | Sep 28, 2017 | M | 20,000 | D | Nov 1, 2011 | Feb 18, 2020 | Common Stock | 20,000 | 0 | D |
| Stock Options (Right to Buy)F3 | $48.56 | Sep 28, 2017 | M | 11,639 | D | Nov 1, 2012 | Sep 8, 2021 | Common Stock | 11,639 | 30,000 | D |
Explanation of responses
- F1Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the noted weighted-average price.
- F202/18/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.
- F309/08/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2012.