SEC Form 4 · accession 0001127602-18-019469
PRICE T ROWE GROUP INC · TROW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert F. MacLellan
Director
Period of report
May 30, 2018
Accepted (ET)
Jun 1, 2018 · 9:52 am 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 | May 30, 2018 | M | 4,163 | $62.3835 | A | 13,769 | D | |
| Common Stock | May 30, 2018 | M | 4,163 | $54.3141 | A | 17,932 | D | |
| Common Stock | May 30, 2018 | S | 5,000 | $122.5796 | D | 12,932 | 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 | $62.3835 | May 30, 2018 | M | 4,163 | D | — | Apr 27, 2021 | Common Stock | 4,163 | 0 | D |
| Stock Options (Right to Buy)F2 | $54.3141 | May 30, 2018 | M | 4,163 | D | — | Oct 28, 2021 | Common Stock | 4,163 | 0 | D |
Explanation of responses
- F1Pursuant to the Amended and Restated 2007 Non-Employee Director Equity Plan, this stock option was issued at $64.94 per share, the closing price of TROW shares on April 27, 2011. The forfeiture provisions of the this award will vest upon the earliest of the following: (a) one year after the date of award, (b) the day immediately prior to the annual meeting of stockholders of the Company at which members of the Board of Directors are to be elected that occurs in the next calendar year following the year in which the date of award occurs, (c) death or (d) immediately before and contingent upon the occurrence of a Change in Control.
- F2Pursuant to the Amended and Restated 2007 Non-Employee Director Equity Plan, this stock option was issued at $56.54 per share, the closing price of TROW shares on October 28, 2011. The forfeiture provisions of the this award will vest upon the earliest of the following: (a) one year after the date of award, (b) the day immediately prior to the annual meeting of stockholders of the Company at which members of the Board of Directors are to be elected that occurs in the next calendar year following the year in which the date of award occurs, (c) death or (d) immediately before and contingent upon the occurrence of a Change in Control.