SEC Form 4 · accession 0001562180-19-001229
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
Feb 20, 2019
Accepted (ET)
Feb 22, 2019 · 8:40 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 | Feb 20, 2019 | M | 689 | $70.33 | A | 401,164 | D | |
| Common Stock | Feb 20, 2019 | M | 41,639 | $48.56 | A | 442,803 | D | |
| Common Stock | Feb 20, 2019 | M | 20,819 | $59.0693 | A | 463,622 | D | |
| Common Stock | Feb 20, 2019 | M | 20,819 | $60.7984 | A | 484,441 | D | |
| Common Stock | Feb 20, 2019 | M | 20,499 | $69.6708 | A | 504,940 | D | |
| Common StockF1 | Feb 20, 2019 | S | 104,465 | $96.9444 | D | 400,475 | 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)F2 | $70.33 | Feb 20, 2019 | M | 689 | D | Nov 1, 2012 | Feb 17, 2021 | Common Stock | 689 | 0 | D |
| Stock Options (Right to Buy)F3 | $48.56 | Feb 20, 2019 | M | 41,639 | D | Nov 1, 2012 | Sep 8, 2021 | Common Stock | 41,639 | 0 | D |
| Stock Options (Right to Buy)F4 | $59.0693 | Feb 20, 2019 | M | 20,819 | D | Dec 10, 2013 | Feb 23, 2022 | Common Stock | 20,819 | 0 | D |
| Stock Options (Right to Buy)F5 | $60.7984 | Feb 20, 2019 | M | 20,819 | D | Dec 10, 2013 | Sep 6, 2022 | Common Stock | 20,819 | 0 | D |
| Stock Options (Right to Buy)F6 | $69.6708 | Feb 20, 2019 | M | 20,499 | D | Dec 10, 2014 | Feb 21, 2023 | Common Stock | 20,499 | 0 | D |
Explanation of responses
- F1The range of prices for this transaction were $96.65 to $97.40. 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 separate price.
- F202/17/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/1/2012.
- F309/8/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/1/2012.
- F402/23/2012 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2013.
- F509/06/2012 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2013.
- F602/21/2013 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2014.