Statement of Changes in Beneficial Ownership (4)
July 01 2021 - 10:20AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
MacLellan Robert F. |
2. Issuer Name and Ticker or Trading Symbol
PRICE T ROWE GROUP INC
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TROW
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
100 EAST PRATT STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/29/2021 |
(Street)
BALTIMORE, MD 21202
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 6/29/2021 | | A | | 35.071 (1) | A | $197.79 | 25597.945 | D | |
Common Stock | 6/29/2021 | | A | | 329.00 (2) | A | $197.79 | 25926.945 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option | $78.5896 (3) | 4/29/2014 | 6/24/2021 | A |
V
| 4370.00 | | 4/22/2015 | 4/29/2024 | Common Stock | 4370.00 | $0.00 | 4370.00 | D | |
Stock Option | $76.6873 (3) | 10/28/2014 | 6/24/2021 | A |
V
| 4370.00 | | 4/22/2015 | 10/28/2024 | Common Stock | 4370.00 | $0.00 | 4370.00 | D | |
Stock Option | $81.1422 (3) | 4/27/2015 | 6/24/2021 | A |
V
| 4417.00 | | 4/26/2016 | 4/27/2025 | Common Stock | 4417.00 | $0.00 | 4417.00 | D | |
Stock Option | $72.8212 (3) | 10/27/2015 | 6/24/2021 | A |
V
| 4417.00 | | 4/26/2016 | 10/27/2025 | Common Stock | 4417.00 | $0.00 | 4417.00 | D | |
Stock Option | $74.1408 (3) | 4/29/2016 | 6/24/2021 | A |
V
| 4417.00 | | 4/25/2017 | 4/29/2026 | Common Stock | 4417.00 | $0.00 | 4417.00 | D | |
Stock Option | $62.8458 (3) | 11/1/2016 | 6/24/2021 | A |
V
| 4417.00 | | 4/25/2017 | 11/1/2026 | Common Stock | 4417.00 | $0.00 | 4417.00 | D | |
Explanation of Responses: |
(1) | This is pursuant to the T. Rowe Price Group, Inc. 2017 Non-Employee Director Equity Plan with respect to dividends declared by the issuer on it's Common Stock. These shares were credited as fully-vested dividend reinvestment shares. |
(2) | Pursuant to the 2017 Non-Employee Director Equity Plan, Stock Units were issued for Director Fee Awards at $197.79 per share, the closing price of TROW shares on June 29, 2021. The Stock Unit Shares and any future dividends attributed to such Director Fee Award, will vest in full and become nonforfeitable on the date of grant. |
(3) | As required under the relevant plan and option agreements, the strike price and number of shares subject to outstanding stock options were adjusted by 1.5% on June 24, 2021, the ex-dividend date, as a result of a special dividend that was declared by T. Rowe Price Group, Inc. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MacLellan Robert F. 100 EAST PRATT STREET BALTIMORE, MD 21202 | X |
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Signatures
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/s/ Power of Attorney Cheryl L Emory, Assistant Corporate Secretary | | 7/1/2021 |
**Signature of Reporting Person | Date |
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