Statement of Changes in Beneficial Ownership (4)
September 09 2021 - 9:28AM
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
*
Jackson Stephon A. |
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)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Vice President |
(Last)
(First)
(Middle)
100 E. PRATT STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/7/2021 |
(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 | 9/7/2021 | | M | | 3698.00 | A | $47.8188 | 53228.743 | D | |
Common Stock | 9/7/2021 | | F | | 1776.00 | D | $215.04 | 51452.743 | D | |
Common Stock | 9/7/2021 | | A |
V
| 160.635 | A | $188.494 (1) | 51613.378 | 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 | $47.8188 (2) | 9/8/2011 | 6/24/2021 | A |
V
| 3698.00 | | (3) | 9/8/2021 | Common Stock | 3698.00 | $0.00 | 3698.00 | D | |
Stock Option | $58.1677 (2) | 2/23/2012 | 6/24/2021 | A |
V
| 2218.00 | | (4) | 2/23/2022 | Common Stock | 2218.00 | $0.00 | 2218.00 | D | |
Stock Option | $58.1677 (2) | 2/23/2012 | 6/24/2021 | A |
V
| 1478.00 | | (4) | 2/23/2022 | Common Stock | 1478.00 | $0.00 | 3696.00 | D | |
Stock Option | $59.8704 (2) | 9/6/2012 | 6/24/2021 | A |
V
| 867.00 | | (5) | 9/6/2022 | Common Stock | 867.00 | $0.00 | 867.00 | D | |
Stock Option | $59.8704 (2) | 9/6/2012 | 6/24/2021 | A |
V
| 2829.00 | | (5) | 9/6/2022 | Common Stock | 2829.00 | $0.00 | 3696.00 | D | |
Stock Option | $68.6074 (2) | 2/21/2013 | 6/24/2021 | A |
V
| 2729.00 | | (6) | 2/21/2023 | Common Stock | 2729.00 | $0.00 | 2729.00 | D | |
Stock Option | $68.6074 (2) | 2/21/2013 | 6/24/2021 | A |
V
| 911.00 | | (6) | 2/21/2023 | Common Stock | 911.00 | $0.00 | 3640.00 | D | |
Stock Option | $69.2127 (2) | 9/10/2013 | 6/24/2021 | A |
V
| 2917.00 | | (7) | 9/10/2023 | Common Stock | 2917.00 | $0.00 | 2917.00 | D | |
Stock Option | $69.2127 (2) | 9/10/2013 | 6/24/2021 | A |
V
| 724.00 | | (7) | 9/10/2023 | Common Stock | 724.00 | $0.00 | 3641.00 | D | |
Stock Option | $76.7546 (2) | 2/19/2014 | 6/24/2021 | A |
V
| 2913.00 | | (8) | 2/19/2024 | Common Stock | 2913.00 | $0.00 | 2913.00 | D | |
Stock Option | $76.7546 (2) | 2/19/2014 | 6/24/2021 | A |
V
| 728.00 | | (8) | 2/19/2024 | Common Stock | 728.00 | $0.00 | 3641.00 | D | |
Stock Option | $77.2445 (2) | 9/9/2014 | 6/24/2021 | A |
V
| 569.00 | | (9) | 9/9/2014 | Common Stock | 569.00 | $0.00 | 569.00 | D | |
Stock Option | $77.2445 (2) | 9/9/2014 | 6/24/2021 | A |
V
| 3071.00 | | (9) | 9/9/2024 | Common Stock | 3071.00 | $0.00 | 3071.00 | D | |
Stock Option | $79.7137 (2) | 2/19/2015 | 6/24/2021 | A |
V
| 831.00 | | (10) | 2/19/2025 | Common Stock | 831.00 | $0.00 | 831.00 | D | |
Stock Option | $79.7137 (2) | 2/19/2015 | 6/24/2021 | A |
V
| 3329.00 | | (10) | 2/19/2025 | Common Stock | 3329.00 | $0.00 | 4160.00 | D | |
Stock Option | $69.8375 (2) | 9/10/2015 | 6/24/2021 | A |
V
| 3576.00 | | (11) | 9/10/2025 | Common Stock | 3576.00 | $0.00 | 3576.00 | D | |
Stock Option | $69.8375 (2) | 9/10/2015 | 6/24/2021 | A |
V
| 485.00 | | (11) | 9/10/2025 | Common Stock | 485.00 | $0.00 | 4061.00 | D | |
Stock Option | $47.8188 | 9/7/2021 | | M | | | 3698.00 | (12) | 9/8/2021 | Common Stock | 3698.00 | $0.00 | 0.00 | D | |
Explanation of Responses: |
(1) | Shares acquired pursuant to the T. Rowe Price Group, Inc. Employee Stock Purchase Plan at the noted weighted-average price. |
(2) | 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. |
(3) | 09/8/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/1/2012. |
(4) | 02/23/2012 Grant - The option vests 20% annually over a 5 year period beginning on 11/1/2013. |
(5) | 09/06/2012 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2013. |
(6) | 02/21/2013 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2014. |
(7) | 09/10/2013 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2014. |
(8) | 02/19/2014 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2015. |
(9) | 9/9/2014 Grant - The option vest 20% annually over a 5 year period beginning on 12/10/2015. |
(10) | 02/19/2015 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2016. |
(11) | 09/10/2015 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2016. |
(12) | 09/08/2011 Grant - The option vests 20% annually over a 5 year period beginning on 11/1/2012. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Jackson Stephon A. 100 E. PRATT STREET BALTIMORE, MD 21202 |
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| Vice President |
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Signatures
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Cheryl L. Emory, Assistant Corporate Secretary, as attorney in fact for Jackson, Stephon A. | | 9/9/2021 |
**Signature of Reporting Person | Date |
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