SEC Form 4 · accession 0001225208-15-002050
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey P Julien
Officer — CFO, Executive VP - Fin
Period of report
Jan 23, 2015
Accepted (ET)
Jan 27, 2015 · 4:08 pm 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 23, 2015 | M | 500 | $25.28 | A | 2,740 | I | By Spouse |
| Common Stock | holding | — | — | — | 35,217 | D | ||
| Common StockF1 | holding | — | — | — | 624 | I | By spouse through ESOP | |
| Common StockF2 | holding | — | — | — | 30,381 | 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)F3 | $25.28 | Jan 23, 2015 | M | 500 | D | — | Jan 24, 2015 | Common Stock | 500 | 0 | I |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's spouse's Employee Stock Ownership Plan (ESOP) account through January 22, 2015.
- F2Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through January 22, 2015.
- F3Of the 500 employee stock options granted on 11/24/2009, 300 vested and became exercisable on 11/24/2012, 100 on 11/24/2013 and 100 on 11/24/2014.
Remarks
This Form 4 reports the exercise for cash of 500 employee stock options by the reporting person's spouse.