-----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, Bak7xsnPIXvRxM6sCgGVEVNtkKGWgKBMVyOMit1PjGcul283lDBPCqB3G0sSsoEc FdnMO6gfZyIsiGrLBZvtBA== /in/edgar/work/0001010504-00-000009/0001010504-00-000009.txt : 20001011 0001010504-00-000009.hdr.sgml : 20001011 ACCESSION NUMBER: 0001010504-00-000009 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: 737800 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: SMITH WILLIAM H CENTRAL INDEX KEY: 0001010504 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 - WILLIAM H. SMITH ------------------------------ 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 Smith William H. - -------------------------------------------------------------------------------- (Last) (First) (Middle) Marston Hill Road, Box 8 - -------------------------------------------------------------------------------- (Street) E. Andover, NH 03231 - -------------------------------------------------------------------------------- (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 [ x ] Officer (give title below) [ ] Other (specify below) Executive Vice President, The Pioneer Group, Inc. - Operations and President - Pioneering Services Corporation -------------------------------------------------------------------- ================================================================================ 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 09/19/00 M 60,000 A $4.1875 231,448 D - --------------------------------------------------------------------------------------------------------------------------------- Common Stock, $.10 par value 09/19/00 M 20,000 A $ 7.0625 251,448 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock, $.10 par value 09/19/00 M 15,000 A $12.000 266,448 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock, $.10 par value 09/19/00 M 12,500 A $21.250 278,948 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 09/19/00 M 10,000 A $27.500 288,948 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 09/19/00 M 7,500 A $24.2500 296,448 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 09/19/00 M 5,000 A $29.875 301,448 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 09/19/00 M 15,000 A $13.8125 316,448 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 09/19/00 S 110,000 D $43.875 205,948 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 09/19/00 S 35,000 D $43.9375 171,948 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly 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 $ 4.1875 09/19/00 M 60,000 -a) $.10 par 60,000 0 D - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $ 7.0625 09/19/00 M 20,000 -a) $.10 par 20,000 0 D - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $12.0000 09/19/00 M 15,000 -a) $.10 par 15,000 0 D - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $21.2500 09/19/00 M 12,500 -a) $.10 par 12,500 0 D - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $27.5000 09/19/00 M 10,000 -a) $.10 par 10,000 2,500 D - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $24.2500 09/19/00 M 7,500 -a) $.10 par 7,000 5,000 D - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $29.875 09/19/00 M 5,000 -a) $.10 par 5,000 7,500 D - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $13.8125 09/19/00 M 15,000 -a) $.10 par 15,000 60,000 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/William H. Smith, Jr. 10/10/00 - --------------------------------------------- ----------------------- **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-----