Statement of Changes in Beneficial Ownership (4)
December 18 2019 - 10:58AM
Edgar (US Regulatory)
FORM 4
[ ]
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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OMB APPROVAL
OMB Number:
3235-0287
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0.5
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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
*
Higginbotham Robert C.T. |
2. Issuer Name and Ticker or Trading Symbol
PRICE T ROWE GROUP INC
[
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 |
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(Last)
(First)
(Middle)
100 E. PRATT STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/16/2019 |
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(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 | 12/16/2019 | | M | | 3331.00 | A | $78.4419 | 80059.424 | D | |
| Common Stock | 12/16/2019 | | M | | 3331.00 | A | $77.9443 | 83390.424 | D | |
| Common Stock | 12/16/2019 | | M | | 3250.00 | A | $70.92 | 86640.424 | D | |
| Common Stock | 12/16/2019 | | M | | 3331.00 | A | $80.9493 | 89971.424 | D | |
| Common Stock | 12/16/2019 | | S | | 3331.00 | D | $124.1439 (1) | 86640.424 | D | |
| Common Stock | 12/16/2019 | | S | | 3250.00 | D | $124.1439 (1) | 83390.424 | D | |
| Common Stock | 12/16/2019 | | S | | 3331.00 | D | $124.1439 (1) | 80059.424 | D | |
| Common Stock | 12/16/2019 | | S | | 3331.00 | D | $124.1439 (1) | 76728.424 | 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 | $77.9443 | 12/16/2019 | | M | | | 3331.00 | (2) | 2/19/2024 | Common Stock | 3331.00 | $0.00 | 0.00 | D | |
| Stock Option | $78.4419 | 12/16/2019 | | M | | | 3331.00 | (3) | 9/9/2024 | Common Stock | 3331.00 | $0.00 | 0.00 | D | |
| Stock Option | $80.9493 | 12/16/2019 | | M | | | 3331.00 | (4) | 2/19/2025 | Common Stock | 3331.00 | $0.00 | 3331.00 | D | |
| Stock Option | $70.92 | 12/16/2019 | | M | | | 3250.00 | (5) | 9/10/2025 | Common Stock | 3250.00 | $0.00 | 3250.00 | D | |
| Explanation of Responses: |
| (1) | The range of prices for this transaction were $124.12 to $124.21. 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. |
| (2) | 02/19/2014 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2015. |
| (3) | 09/9/2014 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2015. |
| (4) | 02/19/2015 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2016. |
| (5) | 09/10/2015 Grant - The option vests 20% annually over a 5 year period beginning on 12/10/2016. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Higginbotham Robert C.T.
100 E. PRATT STREET
BALTIMORE, MD 21202 |
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| Vice President |
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Signatures
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| Kathryn L. Reilly, as attorney in fact for Higginbotham Robert C.T. | | 12/18/2019 |
| **Signature of Reporting Person | Date |
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