SEC Form 4 · accession 0001225208-15-021740
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 1, 2015 | M | 20,000 | $27.10 | A | 176,248 | D | |
| Common Stock | Dec 1, 2015 | M | 11,045 | $25.28 | A | 187,293 | D | |
| Common Stock | Dec 1, 2015 | M | 7,500 | $37.87 | A | 194,793 | D | |
| Common Stock | Dec 1, 2015 | F | 22,598 | $58.96 | D | 172,195 | D | |
| Common Stock | Dec 2, 2015 | M | 13,955 | $25.28 | A | 186,150 | D | |
| Common StockF1 | holding | — | — | — | 639 | 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 | Dec 1, 2015 | M | 20,000 | D | — | Jan 22, 2017 | Common Stock | 20,000 | 5,000 | D |
| Employee Stock Option (right to buy)F3 | $25.28 | Dec 1, 2015 | M | 11,045 | D | — | Jan 24, 2016 | Common Stock | 11,045 | 13,955 | D |
| Employee Stock Option (right to buy)F4 | $37.87 | Dec 1, 2015 | M | 7,500 | D | — | Nov 29, 2019 | Common Stock | 7,500 | 5,000 | D |
| Employee Stock Option (right to buy)F3 | $25.28 | Dec 2, 2015 | M | 13,955 | D | — | Jan 24, 2016 | Common Stock | 13,955 | 0 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 1, 2015.
- F2The stock option vests 15,000 shares on 11/22/2014, 5,000 on 11/22/2015 and 5,000 on 11/22/2016.
- F3The stock option vests 15,000 shares on 11/24/2012, 2,090 on 11/24/2013, 3,955 on 11/24/2014, 3,955 on 01/24/2015.
- F4The stock option vests 7,500 shares on 11/29/2015, 2,500 on 11/29/2016, and 2,500 on 11/29/2017.
Remarks
This Form 4 reports (1) the exercise of 11,045 stock options of the 25,000 granted on 11/24/2009 and related disposition to the company of 4,735 shares of common stock to the issuer to cover the exercise price, (2) the exercise of 20,000 stock options of the 25,000 granted on 2/23/2012 and the related disposition to the company of 12,313 shares of common stock to the issuer to cover taxes and the exercise price, (3) the exercise of 7,500 stock options of the 12,500 granted on 11/29/2012 and the related disposition to the company of 5,550 shares of common stock to cover taxes and the exercise price, and (4) the exercise for cash of 13,955 stock options of the 25,000 granted on 11/24/2009.