SEC Form 4 · accession 0001127602-17-029543
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
Oct 5, 2017
Accepted (ET)
Oct 6, 2017 · 1:41 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 | Oct 5, 2017 | M | 11,532 | $67.5613 | A | 133,519 | D | |
| Common Stock | Oct 5, 2017 | M | 5,204 | $59.0693 | A | 138,723 | D | |
| Common Stock | Oct 5, 2017 | M | 5,204 | $60.7984 | A | 143,927 | D | |
| Common Stock | Oct 5, 2017 | F | 18,675 | $91.75 | D | 125,252 | 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)F1 | $67.5613 | Oct 5, 2017 | M | 11,532 | D | Nov 1, 2012 | Feb 17, 2021 | Common Stock | 11,532 | 1,479 | D |
| Stock Options (Right to Buy)F2 | $59.0693 | Oct 5, 2017 | M | 5,204 | D | Dec 10, 2013 | Feb 23, 2022 | Common Stock | 5,204 | 1,300 | D |
| Stock Options (Right to Buy)F3 | $60.7984 | Oct 5, 2017 | M | 5,204 | D | Dec 10, 2013 | Sep 6, 2022 | Common Stock | 5,204 | 1,300 | D |
Explanation of responses
- F102/17/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2012.
- 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.