0001752724-19-120574.txt : 20190911 0001752724-19-120574.hdr.sgml : 20190911 20190911120323 ACCESSION NUMBER: 0001752724-19-120574 CONFORMED SUBMISSION TYPE: N-CEN/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190911 DATE AS OF CHANGE: 20190911 EFFECTIVENESS DATE: 20190911 FILER: COMPANY DATA: COMPANY CONFORMED NAME: T. Rowe Price Small-Cap Stock Fund, Inc. CENTRAL INDEX KEY: 0000075170 IRS NUMBER: 231622210 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-CEN/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-00696 FILM NUMBER: 191087655 BUSINESS ADDRESS: STREET 1: 100 EAST PRATT STRET CITY: BALTIMORE STATE: MD ZIP: 21202 BUSINESS PHONE: 410-345-2000 MAIL ADDRESS: STREET 1: 100 EAST PRATT STRET CITY: BALTIMORE STATE: MD ZIP: 21202 FORMER COMPANY: FORMER CONFORMED NAME: PRICE T ROWE SMALL CAP STOCK FUND INC DATE OF NAME CHANGE: 19980513 FORMER COMPANY: FORMER CONFORMED NAME: PRICE T ROWE OTC FUND INC DATE OF NAME CHANGE: 19930210 FORMER COMPANY: FORMER CONFORMED NAME: OVER THE COUNTER SECURITIES GROUP INC DATE OF NAME CHANGE: 19920703 0000075170 S000002120 T. Rowe Price Small-Cap Stock Fund, Inc. C000005508 T. Rowe Price Small-Cap Stock Fund, Inc. OTCFX C000005509 T. Rowe Price Small-Cap Stock Fund-Advisor Class PASSX C000159682 T. Rowe Price Small-Cap Stock Fund-I Class OTIIX N-CEN/A 1 primary_doc.xml X0201 N-CEN/A 0001752724-19-011363 LIVE 0000075170 XXXXXXXX 811-00696 false false false N-1A true T. ROWE PRICE SMALL-CAP STOCK FUND, INC. 811-00696 0000075170 549300LEPRYPUMW24D82 100 East Pratt Street Baltimore 21202 US-MD US 410-345-2000 The Bank of New York Mellon 103 Bellevue Parkway Wilmington 19809 800-441-9800 Fund accounting records. T. Rowe Price Small-Cap Stock Fund, Inc. 100 East Pratt Street Baltimore 21202 410-345-2000 All accounts, books, and other documents required to be maintained by the Registrant under Section 31(a) of the Investment Company Act of 1940 and the rules thereunder. T. Rowe Price Services, Inc. 4525 Painters Mill Road Owings Mills 21117 410-345-2000 Transfer, dividend disbursing, and shareholder service records. State Street Corporation 1776 Heritage Drive Quincy 02171 617-786-3000 Custodian records for the registrant. JPMorgan Chase Bank, London Woolgate House, Coleman Street London GB EC2P 2HD 0 44 20 7742 4000 Records related to the custody of Registrant's portfolio securities which are purchased outside the United States. Y N N-1A 1 Y Teresa Bryce Bazemore N/A N Bruce W. Duncan N/A N Robert W. Sharps N/A Y Cecilia E. Rouse N/A N Ronald J. Daniels N/A N David Oestreicher 004594569 Y Robert J. Gerrard, Jr. N/A N Paul F. McBride N/A N John G. Schreiber N/A N Mark R. Tercek N/A N John R. Gilner 001909214 100 East Pratt Street Baltimore 21202 XXXXXX N N N N N T. Rowe Price Investment Services, Inc. 008-25130 000008348 N/A Y N PricewaterhouseCoopers LLP 238 N/A N N N N N N N T. Rowe Price Small-Cap Stock Fund, Inc. S000002120 DN033QOT4XRHBV08B590 Y 3 0 0 N/A Y N Y N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Other Revenue sharing split Rebate N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Rule 17a-7 (17 CFR 270.17a-7) Y N N N T. Rowe Price Associates, Inc. 801-00856 000105496 7HTL8AEQSEDX602FBU63 N T. Rowe Price Services, Inc. 084-01079 N/A Y N T. Rowe Price Retirement Plan Services, Inc. 084-01917 N/A Y Y N Refinitiv 549300561UZND4C7B569 N Markit North America, Inc. N/A N ICE Data Services N/A N Bloomberg Finance L.P. 5493001KJTIIGC8Y1R12 N N JPMorgan Chase Bank, N.A. 7H6GLXDRUGQFU57RNE97 N Y Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) JPMorgan Chase Bank, London 7H6GLXDRUGQFU57RNE97 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DBS Bank Ltd. 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Morgan Bank Luxembourg S.A. 7W1GMC6J4KGLBBUSYP52 LU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) JPMorgan Chase Bank, N.A. - New Zealand Branch 7H6GLXDRUGQFU57RNE97 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services S.C.A. - Milan Branch 549300WCGB70D06XZS54 IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N T. Rowe Price Services, Inc. N/A Y N T. Rowe Price Retirement Plan Services, Inc. N/A Y Y N T. Rowe Price Associates, Inc. 7HTL8AEQSEDX602FBU63 Y N N T. Rowe Price Investment Services, Inc. 008-25130 000008348 N/A 0.00000000 BARCLAYS PLC N/A N/A 213800LBQA1Y9L22JB70 GB 160407.00000000 Raymond James Financial, Inc. N/A N/A RGUZHJ05YTITL6D76949 165909.00000000 Morgan Stanley N/A N/A IGJSJL3JD5P30I6NJZ34 215612.00000000 Cowen and Company, LLC 008-22522 000007616 549300WR155U7DVMIW58 160951.00000000 Jefferies Financial Group Inc. N/A N/A 549300HOF34RGOJ5YL07 197105.00000000 The Goldman Sachs Group, Inc. N/A N/A 784F5XWPLTWKTBV3E584 240979.00000000 JP MORGAN CHASE & CO. N/A N/A 8I5DZWZKVSZI1NUHU748 217828.00000000 Robert W. Baird & Co. Incorporated 008-00497 000008158 549300772UJAHRD6LO53 174222.00000000 Citigroup, Inc. N/A N/A 6SHGI4ZSSLCXXQSBB395 169470.00000000 Royal Bank of Canada N/A N/A ES7IP3U3RHIGC71XBU11 CA 172724.00000000 3525445.00000000 Royal Bank of Canada N/A N/A ES7IP3U3RHIGC71XBU11 CA 11634900.00000000 Bank of America Corporation N/A N/A 9DJT3UXIJIZJI4WXO774 39564017.00000000 Jefferies Financial Group Inc. N/A N/A 549300HOF34RGOJ5YL07 13729348.00000000 JP MORGAN CHASE & CO. N/A N/A 8I5DZWZKVSZI1NUHU748 74651411.00000000 Cantor Fitzgerald & Co N/A N/A 549300RLUEEVQEMX0450 8963559.00000000 The Goldman Sachs Group, Inc. N/A N/A 784F5XWPLTWKTBV3E584 35758397.00000000 Credit Suisse Group AG N/A N/A 549300506SI9CRFV9Z86 CH 23006923.00000000 Cowen and Company, LLC 008-22522 000007616 549300WR155U7DVMIW58 11833466.00000000 Citigroup Inc. N/A N/A 6SHGI4ZSSLCXXQSBB395 25273005.00000000 Morgan Stanley N/A N/A IGJSJL3JD5P30I6NJZ34 24734280.00000000 380969491.00000000 Y 9831507519.81302000 0.00000000 N N N N true INTERNAL CONTROL RPT 2 g1aiii_smallc_stock.htm Form 8-K

Report of Independent Registered Public Accounting Firm

To the Board of Directors and Shareholders of T. Rowe Price Small-Cap Stock Fund, Inc.

In planning and performing our audit of the financial statements of T. Rowe Price Small-Cap Stock Fund, Inc. (the “Fund”) as of and for the year ended December 31, 2018, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (“PCAOB”), we considered the Fund’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Fund’s internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Fund’s internal control over financial reporting.

The management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company’s assets that could have a material effect on the financial statements.

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company’s annual or interim financial statements will not be prevented or detected on a timely basis.

PricewaterhouseCoopers LLP, 100 East Pratt Street, Suite 2600, Baltimore, MD 21202-1096

T: (410) 783 7600, F: (410) 783 7680, www.pwc.com/us

Our consideration of the Fund’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control over financial reporting that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Fund’s internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be material weaknesses as defined above as of December 31, 2018.

This report is intended solely for the information and use of the Board of Directors of T. Rowe Price Small-Cap Stock Fund, Inc. and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

/s/ PricewaterhouseCoopers LLP

Baltimore, Maryland

February 15, 2019

 

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