SEC Form 4 · accession 0001127602-17-035236
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher D Alderson
Officer — Vice President
Period of report
Dec 18, 2017
Accepted (ET)
Dec 20, 2017 · 8:48 am EST
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 | Dec 18, 2017 | M | 49,966 | $43.3725 | A | 169,816 | D | |
| Common Stock | Dec 18, 2017 | M | 41,639 | $47.6474 | A | 211,455 | D | |
| Common StockF1 | Dec 18, 2017 | S | 91,605 | $103.2773 | D | 119,850 | D | |
| Common Stock | holding | — | — | — | 262,000 | 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 | Dec 18, 2017 | M | 49,966 | D | Nov 1, 2010 | Sep 10, 2019 | Common Stock | 49,966 | 0 | D |
| Stock Options (Right to Buy)F3 | $47.6474 | Dec 18, 2017 | M | 41,639 | D | Nov 1, 2011 | Feb 18, 2020 | Common Stock | 41,639 | 0 | D |
Explanation of responses
- F1The range of prices for this transaction were $103.02 to $103.64. Will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each seperate price.
- F209/10/2009 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2010.
- F32/18/2010 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2011.