-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UoB5+PGxMdH2twoJPtPN0NKNOA9mnAeK6tOVqTRtpVEhuuc37wpu5YUMBvEr7vqi yxsVDKOoycwANYkoVDyslg== /in/edgar/work/0001010501-00-000010/0001010501-00-000010.txt : 20001011 0001010501-00-000010.hdr.sgml : 20001011 ACCESSION NUMBER: 0001010501-00-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000930 FILED AS OF DATE: 20001010 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PIONEER GROUP INC CENTRAL INDEX KEY: 0000733060 STANDARD INDUSTRIAL CLASSIFICATION: [6282 ] IRS NUMBER: 135657669 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-08841 FILM NUMBER: 737770 BUSINESS ADDRESS: STREET 1: 60 STATE ST STREET 2: 19TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109-1820 BUSINESS PHONE: 8008211239 MAIL ADDRESS: STREET 1: 60 STATE STREET STREET 2: 19TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109-1820 COMPANY DATA: COMPANY CONFORMED NAME: MALECKA ALICJA CENTRAL INDEX KEY: 0001010501 STANDARD INDUSTRIAL CLASSIFICATION: [ ]OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 60 STREET 2: 60 STATE STREET 19TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109-1820 BUSINESS PHONE: 6174224960 4 1 0001.txt FORM 4 - ALICJA K. MALECKA ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0287 Expires: April 30, 1997 Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [ ] Check this box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person MALECKA, ALICJA K. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 8 Hoffstat Drive - -------------------------------------------------------------------------------- (Street) Sands Point New York 11050 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol The Pioneer Group, Inc. (PIOG) ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Statement for Month/Year September 2000 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ XX] Officer (give title below) [ ] Other (specify below) Executive Vice President -------------------------------------------------------------------- ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 09/15/00 M 12,500 A $21.250 45,155 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 09/15/00 S 12,500 D $43.880 32,655 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 09/20/00 M 2,500 A $27.500 35,155 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 09/20/00 M 5,000 A $24.250 40,155 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock, $.10 par value 09/20/00 M 7,500 A $29.875 47,655 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 09/20/00 M 40,000 A $13.8125 87,655 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 09/20/00 M 15,000 A $14.938 102,655 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 09/20/00 S 15,800 D $43.938 86,855 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 09/20/00 S 54,200 D $43.875 32,655 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 09/20/00 M 20,000 A $13.8125 52,655 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly * The 1997 Stock Incentive Plan provides, in certain circumstances, for the sale of common stock to satisfy certain federal tax withholding obligations. FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature of Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $21.250 09/15/00 M 12,500 -a) $.10 par 12,500 0 D - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $27.500 09/20/00 M 2,500 -a) $.10 par 2,500 0 D - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $24.250 09/20/00 M 5,000 -a) $.10 par 5,000 0 D - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $29.875 09/20/00 M 7,500 -a) $.10 par 7,500 0 D - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $13.8125 09/20/00 M 40,000 -a) $.10 par 40,000 20,000 D - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $14.938 09/20/00 M 15,000 -a) $.10 par 15,000 0 D - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $13.8125 09/20/00 M 20,000 -a) $.10 par 20,000 0 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: - -a) The 1997 Stock Incentive Plan provides, in certain circumstances for the sale of common stock to satisfy certain federal tax withholding obligations. /s/Alicja K. Malecka 08/09/00 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedures. -----END PRIVACY-ENHANCED MESSAGE-----