SEC Form 4 · accession 0001225208-15-019782
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
Oct 16, 2015
Accepted (ET)
Oct 20, 2015 · 3:48 pm 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 StockF1 | Oct 16, 2015 | M | 8,000 | $25.28 | A | 34,838 | D | |
| Common Stock | Oct 16, 2015 | F | 3,872 | $52.21 | D | 30,966 | D | |
| Common StockF2 | holding | — | — | — | 1,500 | I | by Son JA | |
| Common StockF3 | holding | — | — | — | 7,513 | I | ESOP | |
| Common StockF4 | holding | — | — | — | 900 | I | John R. Dowdle Exempt Marital Trust | |
| Common StockF4 | holding | — | — | — | 10,000 | I | Mary R. Dowdle Trust | |
| Common StockF2 | holding | — | — | — | 1,500 | I | UTMA Custodian for Daughter EC | |
| Common StockF2 | holding | — | — | — | 1,500 | I | UTMA Custodian for Son GT |
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)F5 | $25.28 | Oct 16, 2015 | M | 8,000 | D | — | Nov 24, 2015 | Common Stock | 8,000 | 0 | D |
Explanation of responses
- F1Includes 485 shares of common stock acquired on 9/2/2015 pursuant to the registrant's Employee Stock Purchase Plan.
- F2The 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.
- F3Includes shares of common stock acquired under the reporting person's Employee Stock Ownership (ESOP) account through October 16, 2015.
- F4The 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.
- F5Of the 8,000 employee stock options granted on 11/24/2009, 2,400 vested and became exercisable on 11/24/2012, 4,000 on 11/24/2013 and 1,600 on 11/24/2014.
Remarks
This Form 4 reports the exercise of stock options with respect to 8,000 shares of common stock and disposition of 3,872 shares of common stock to the issuer to cover the exercise price.