false0001113169PRICE T ROWE GROUP INC
0001113169
2020-05-12
2020-05-12
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
___________________________
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): May 12, 2020
T. Rowe Price Group, Inc.
(Exact name of registrant as specified in its charter)
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Maryland
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000-32191
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52-2264646
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(State of
incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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100 East Pratt Street, Baltimore, Maryland 21202
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(Address of principal executive offices)
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(Zip Code)
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Registrant's telephone number, including area code: (410) 345-2000
N/A
(Former Name of Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading Symbol
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Name of each exchange on which registered
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Common Stock, par value $0.20
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TROW
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The NASDAQ Stock Market LLC
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.07 Submission of Matters to a Vote of Security Holders.
The annual meeting of our stockholders was held on May 12, 2020. The proxy statement and solicitation pertaining to this meeting were previously filed with the Commission on March 25, 2020. Shares eligible to vote were 233,364,817 at the record date of March 11, 2020.
The tabulation of votes for each proposal voted on by stockholders was as follows:
Proposal 1 - Election of Directors
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Nominee
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For
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Against
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Abstain
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Broker Non-Vote
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Mark S. Bartlett
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176,112,517
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1,841,437
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208,273
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28,361,434
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Mary K. Bush
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146,660,797
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30,653,960
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847,470
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28,361,434
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Dina Dublon
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177,267,784
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685,776
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208,667
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28,361,434
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Dr. Freeman A. Hrabowski, III
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177,055,323
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911,203
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195,701
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28,361,434
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Robert F. MacLellan
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175,506,129
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2,427,225
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228,873
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28,361,434
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Olympia J. Snowe
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176,720,493
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1,273,544
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168,190
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28,361,434
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Robert J. Stevens
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177,218,950
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722,008
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221,269
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28,361,434
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William J. Stromberg
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170,671,188
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6,874,393
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616,646
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28,361,434
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Richard R. Verma
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177,282,233
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679,174
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200,820
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28,361,434
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Sandra S. Wijnberg
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177,295,556
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698,172
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168,499
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28,361,434
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Alan D. Wilson
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177,249,548
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703,933
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208,746
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28,361,434
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Proposal 2 - Advisory Vote on the Compensation Paid to Our Named Executive Officers
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For
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Against
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Abstain
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Broker Non-Vote
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170,551,556
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7,189,786
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420,885
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28,361,434
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Proposal 3 - Ratification of the Appointment of KPMG LLP as Our Independent Registered Public Accounting Firm for 2020
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For
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Against
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Abstain
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Broker Non-Vote
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202,862,175
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3,483,205
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178,281
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—
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Proposal 4 - Approve the 2020 Long-Term Incentive Plan
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For
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Against
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Abstain
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Broker Non-Vote
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168,299,882
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9,542,711
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319,634
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28,361,434
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Proposal 5 - Stockholder proposal requesting the preparation of a report on voting by our funds and portfolios on matters related to climate change
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For
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Against
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Abstain
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Broker Non-Vote
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25,070,286
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149,954,367
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3,137,574
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28,361,434
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
T. Rowe Price Group, Inc.
By: /s/ Céline S. Dufétel
Céline S. Dufétel
Vice President, Chief Financial Officer and Treasurer
Date: May 13, 2020