SEC Form 4 · accession 0001127602-18-001552
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
Jan 9, 2018
Accepted (ET)
Jan 10, 2018 · 4:41 pm 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 | Jan 9, 2018 | M | 42,761 | $67.5613 | A | 562,654 | D | |
| Common Stock | Jan 9, 2018 | M | 44,241 | $48.56 | A | 606,895 | D | |
| Common Stock | Jan 9, 2018 | F | 65,012 | $111.75 | D | 541,883 | D | |
| Common StockF1 | Jan 9, 2018 | A | 20 | $105.3088 | A | 541,903 | D | |
| Common Stock | holding | — | — | — | 66,000 | 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 | $67.5613 | Jan 9, 2018 | M | 42,761 | D | Nov 1, 2012 | Feb 17, 2021 | Common Stock | 42,761 | 1,479 | D |
| Stock Options (Right to Buy)F3 | $48.56 | Jan 9, 2018 | M | 44,241 | D | Nov 1, 2012 | Sep 8, 2021 | Common Stock | 44,241 | 0 | D |
Explanation of responses
- F1ESPP - Shares purchased pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the noted weighted average price.
- F202/17/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2012.
- F309/08/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/01/2012.