SEC Form 4 · accession 0001225208-15-003043
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey A Dowdle
Officer — Executive Vice President-AMG
Period of report
Feb 4, 2015
Accepted (ET)
Feb 5, 2015 · 11:10 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 StockF2 | Feb 4, 2015 | S | 10,428 | $54.3938 | D | 26,353 | D | |
| Common StockF3 | holding | — | — | — | 1,500 | I | by Son MS | |
| Common StockF4 | holding | — | — | — | 7,362 | I | ESOP | |
| Common StockF5 | holding | — | — | — | 900 | I | John R. Dowdle Exempt Marital Trust | |
| Common StockF5 | holding | — | — | — | 10,000 | I | Mary R. Dowdle Trust | |
| Common StockF3 | holding | — | — | — | 1,500 | I | UTMA Custodian for Daughter EC | |
| Common StockF3 | holding | — | — | — | 1,500 | I | UTMA Custodian for Son GT | |
| Common StockF3 | holding | — | — | — | 1,500 | I | UTMA Custodian for Son JA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
- F2Reflects the weighted average sale price. The range of prices for such transaction was $54.35 to $54.65.
- F3The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F4Includes shares of common stock acquired under the reporting person's Employee Stock Ownership (ESOP) account through February 3, 2015.
- F5The reporting person is the trustee of the trust and holds a remainder interest therein. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
Remarks
This Form 4 reports the open market sale by the reporting person of shares of common stock.