SEC Form 4 · accession 0001225208-15-016614
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tashtego S Elwyn
Officer — President - RJA
Period of report
Aug 6, 2015
Accepted (ET)
Aug 10, 2015 · 9:11 am EDT
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 | Aug 6, 2015 | M | 3,243 | $27.10 | A | 5,143 | D | |
| Common Stock | Aug 6, 2015 | S | 3,243 | $58.9201 | D | 1,900 | D | |
| Common StockF1 | holding | — | — | — | 3,779 | 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 | $27.10 | Aug 6, 2015 | M | 3,243 | D | — | Jan 22, 2017 | Common Stock | 3,243 | 6,757 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through August 6, 2015.
- F2Of the 10,000 employee stock options granted, 60% vested on 11/22/2014, 20% will vest on 11/22/2015 and 20% on 11/22/2016.
Remarks
This Form 4 reports the exercise of 3,243 employee stock options, and also reports the open market sale by the reporting person of shares of common stock.