SEC Form 4 · accession 0001225208-15-002004
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis W Zank
Officer — Chief Operating Officer
Period of report
Jan 26, 2015
Accepted (ET)
Jan 27, 2015 · 11:58 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000720005
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 26, 2015 | M | 3,955 | $25.28 | A | 172,062 | D | |
| Common StockF1 | holding | — | — | — | 50,280 | I | ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $25.28 | Jan 26, 2015 | M | 3,955 | D | — | Jan 24, 2016 | Common Stock | 3,955 | 0 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through January 26, 2015.
- F2Of the total 25,000 employee stock options granted on 11/24/2009, the remaining 3,955 vested and became exercisable on 1/24/2015.
Remarks
This Form 4 reports the exercise for cash of employee stock options.