-----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, VamXj8xsOhmqcoN6ULYiTIs8d35si9sDq9u5HtsfyzNRf450v+LFfq7XPTf4PZG7 RA89PFo26v7y4lrGcYFE5Q== 0001010506-99-000002.txt : 19990107 0001010506-99-000002.hdr.sgml : 19990107 ACCESSION NUMBER: 0001010506-99-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981231 FILED AS OF DATE: 19990106 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PIONEER GROUP INC CENTRAL INDEX KEY: 0000733060 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [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: 99501564 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: TRIPPLE DAVID D CENTRAL INDEX KEY: 0001010506 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 FORM 4 - DAVID D. TRIPPLE ------------------------------ 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 TRIPPLE DAVID DIXON - -------------------------------------------------------------------------------- (Last) (First) (Middle) 6 Woodbine Road - -------------------------------------------------------------------------------- (Street) Belmont, MA 02178 - -------------------------------------------------------------------------------- (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 DECEMBER 1998 ================================================================================ 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 -------------------------------------------------------------------- ================================================================================ 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 12/09/98 M* 40,000 A $4.1875 149,465 D - ------------------------------------------------------------------------------------------------------------------------------------ Common stock, $.10 par value 12/10/98 M* 36,500 A $4.1875 185,965 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 12/10/98 S 7,500 D $16.5000 178,465 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 12/10/98 S 7,500 D $16.1875 170,965 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 12/10/98 S 1,500 D $16.1250 169,465 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 12/10/98 S 20,000 D $16.000 149,465 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 12/15/98 M* 100 A $4.1875 149,565 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 12/15/98 S 100 D $16.000 149,465 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 12/16/98 M* 13,400 A $4.1875 162,865 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 12/16/98 S 13,400 D $15.000 149,465 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 12/17/98 M* 10,000 A $4.1875 159,465 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 12/17/98 S 2,000 D $15.000 157,465 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 12/17/98 S 1,000 D $14.8750 156,465 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 12/17/98 S 1,000 D $14.7500 155,465 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.10 par value 12/17/98 S 6,000 D $14.6250 149,465 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 Option $13.8125 10/28/98 A* V 75,000 -a) 11/27/08 Stock 75,000 75,000 D $.10 par - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Option $4.1875 12/09/98 M 40,000 -a) Stock 40,000 60,000 D $.10 par - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $4.1875 12/10/98 M 36,500 -a) $.10 par 36,500 23,500 D - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $4.1875 12/15/98 M 100 -a) $.10 par 100 23,400 D - ------------------------------------------------------------------------------------------------------------------------------------ "Right to Buy" Common Stock Option $4.1875 12/16/98 M 13,400 -a) $.10 par 13,400 10,000 D ----------------------------------------------------------------------------------------------------------------------------------- "Right to Buy" Common Stock Option $4.1875 12/17/98 M 10,000 -a) $.10 par 10,000 -0- *** D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: - -a) Options vest over five years at an annual rate of 20% on each anniversary of the dates of grant. *** Amount of shares remaining from 12/2/88 Option Grant. /s/David D. Tripple 01/06/99 - --------------------------------------------- ----------------------- **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-----