0001752724-22-057653.txt : 20220311
0001752724-22-057653.hdr.sgml : 20220311
20220311160323
ACCESSION NUMBER: 0001752724-22-057653
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20211231
FILED AS OF DATE: 20220311
DATE AS OF CHANGE: 20220311
EFFECTIVENESS DATE: 20220311
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
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-00696
FILM NUMBER: 22733074
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
C000219319
T. Rowe Price Small-Cap Stock Fund-Z Class
TRZZX
N-CEN
1
primary_doc.xml
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811-00696
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T. ROWE PRICE SMALL-CAP STOCK FUND, INC.
811-00696
0000075170
549300LEPRYPUMW24D82
100 East Pratt Street
Baltimore
21202
US-MD
US
410-345-2000
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.
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.
The Bank of New York Mellon
103 Bellevue Parkway
Wilmington
19809
800-441-9800
Fund accounting records.
T. Rowe Price Services, Inc.
100 East Pratt Street
Baltimore
21202
410-345-2000
Transfer, dividend disbursing, and shareholder service records.
N
N
N-1A
1
Y
Bruce W. Duncan
N/A
N
Teresa Bryce Bazemore
N/A
N
John G. Schreiber
N/A
N
Robert W. Sharps
N/A
Y
Paul F. McBride
N/A
N
Kellye L. Walker
N/A
N
Robert J. Gerrard, Jr.
N/A
N
Ronald J. Daniels
N/A
N
David Oestreicher
004594569
Y
John R. Gilner
001909214
100 East Pratt Street
Baltimore
21202
XXXXXX
N
N
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T. Rowe Price Investment Services, Inc.
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000008348
N/A
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PricewaterhouseCoopers LLP
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T. Rowe Price Small-Cap Stock Fund, Inc.
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N/A
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Y
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N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Revenue sharing split
Other
Rebate
N/A
55340.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
N
N
T. Rowe Price Associates, Inc.
801-00856
000105496
7HTL8AEQSEDX602FBU63
N
T. Rowe Price Retirement Plan Services, Inc.
084-01917
N/A
Y
Y
T. Rowe Price Services, Inc.
084-01079
N/A
Y
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
ICE Data Services
13-3668779
Tax ID
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
Markit North America, Inc.
N/A
N
N
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
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)
EUROCLEAR BANK SA/NV
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Mizuho Bank, Ltd.
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Islandsbanki hf
549300PZMFIQR79Q0T97
IS
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Bank Luxembourg S.A.
7W1GMC6J4KGLBBUSYP52
LU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
JPMorgan Chase Bank, N.A. - Sydney Branch
7H6GLXDRUGQFU57RNE97
AU
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
Robert W. Baird & Co. Incorporated
008-00497
000008158
549300772UJAHRD6LO53
80719.00000000
Jefferies Financial Group Inc.
N/A
N/A
549300HOF34RGOJ5YL07
75393.00000000
Morgan Stanley
N/A
N/A
IGJSJL3JD5P30I6NJZ34
170114.00000000
Raymond James Financial, Inc.
N/A
N/A
RGUZHJ05YTITL6D76949
72541.00000000
JP MORGAN CHASE & CO.
N/A
N/A
8I5DZWZKVSZI1NUHU748
87784.00000000
The Goldman Sachs Group, Inc.
N/A
N/A
784F5XWPLTWKTBV3E584
137529.00000000
BARCLAYS PLC
N/A
N/A
213800LBQA1Y9L22JB70
GB
67889.00000000
Cowen and Company, LLC
008-22522
000007616
549300WR155U7DVMIW58
86758.00000000
Stifel, Nicolaus & Company, Incorporated
N/A
N/A
549300E5F07FE5GHJX84
78448.00000000
Citigroup, Inc.
N/A
N/A
6SHGI4ZSSLCXXQSBB395
166446.00000000
1809498.00000000
JP MORGAN CHASE & CO.
N/A
N/A
8I5DZWZKVSZI1NUHU748
83597332.00000000
SVB Leerink LLC
008-48535
000039011
549300AAH7U76CEUBI94
13382296.00000000
Cowen and Company, LLC
008-22522
000007616
549300WR155U7DVMIW58
15035522.00000000
Jefferies Financial Group Inc.
N/A
N/A
549300HOF34RGOJ5YL07
19624322.00000000
The Goldman Sachs Group, Inc.
N/A
N/A
784F5XWPLTWKTBV3E584
102603370.00000000
EVERCORE GROUP L.L.C.
008-49830
000042405
5493008F0LRLS5N8LZ81
12596749.00000000
Citigroup Inc.
N/A
N/A
6SHGI4ZSSLCXXQSBB395
24322003.00000000
Bank of America Corporation
N/A
N/A
9DJT3UXIJIZJI4WXO774
17937459.00000000
BARCLAYS PLC
N/A
N/A
213800LBQA1Y9L22JB70
GB
24765927.00000000
Morgan Stanley
N/A
N/A
IGJSJL3JD5P30I6NJZ34
48003049.00000000
503188802.00000000
Y
11711887669.00000000
0.00000000
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INTERNAL CONTROL RPT
2
g.1.a.iii_trp_smallcapstock.htm
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, 2021, 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.
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, 2021.
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 17, 2022
PricewaterhouseCoopers LLP,100 East Pratt, Street, Suite 2600, Baltimore, Maryland 21202-1096T:4107837600, www.pwc.com/us