SEC Form 4 · accession 0001225208-15-021922
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A James
Officer — Executive Chairman · Director · 10% Owner
Period of report
Dec 4, 2015
Accepted (ET)
Dec 8, 2015 · 2:03 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 StockF2 | Dec 4, 2015 | S | 130,498 | $59.4333 | D | 13,386,680 | D | |
| Common StockF3 | Dec 7, 2015 | S | 18,141 | $59.377 | D | 13,368,539 | D | |
| Common StockF4 | holding | — | — | — | 86 | I | ESOP | |
| Common StockF5 | holding | — | — | — | 1,325,508 | I | Robert A. James Trust | |
| Common Stock | holding | — | — | — | 48,087 | I | Spouse |
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 $59.25 to $59.67.
- F3Reflects the weighted average sale price. The range of prices for such transaction was $59.25 to $59.69.
- F4Reflects a required minimum distribution from the reporting person's Employee Stock Ownership Plan (ESOP) account since the date of his last report.
- F5The reporting person is the trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
Remarks
This Form 4 reports the open market sale by the reporting person of shares of common stock. The reported sales are being effected in order to partially fund certain renovation work for a public art museum to be established by the reporting person.