SEC Form 4 · accession 0001127602-17-029802
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William J Stromberg
Officer — CEO and President · Director
Period of report
Oct 12, 2017
Accepted (ET)
Oct 13, 2017 · 2:12 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 12, 2017 | M | 46,843 | $45.7933 | A | 568,979 | D | |
| Common StockF1 | Oct 12, 2017 | A | 6 | $90.6652 | A | 568,986 | D | |
| Common Stock | Oct 12, 2017 | F | 34,909 | $94.46 | D | 534,077 | D | |
| Common Stock | holding | — | — | — | 96,000 | I | 2016 Stromberg Family Trust | |
| Common Stock | holding | — | — | — | 400,000 | I | Lake Shore Partners LLC |
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 | $45.7933 | Oct 12, 2017 | M | 46,843 | D | Nov 1, 2011 | Sep 8, 2020 | Common Stock | 46,843 | 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.
- F209/08/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.