SEC Form 4 · accession 0001225208-15-002051
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Matecki
Officer — Sr. VP - General Counsel
Period of report
Jan 23, 2015
Accepted (ET)
Jan 27, 2015 · 4:15 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 | 5,500 | $25.28 | A | 35,798 | D | |
| Common Stock | Jan 23, 2015 | F | 2,642 | $52.61 | D | 33,156 | D | |
| Common StockF1 | holding | — | — | — | 4,207 | 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 23, 2015 | M | 5,500 | D | — | Jan 24, 2015 | Common Stock | 5,500 | 0 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through January 23, 2015.
- F2Of the total 5,500 employee stock options granted on 11/24/2009, 3,300 vested and became exercisable on 11/24/2012, 1,100 on 11/24/2013 and 1,100 on 11/24/2014.
Remarks
This Form 4 reports the exercise of employee stock options with respect to 5,500 shares of common stock and disposition of 2,642 shares of common stock to the issuer to cover the exercise price.