SEC Form 4 · accession 0001225208-15-022439
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven M Raney
Officer — President & CEO RJBank
Period of report
Dec 14, 2015
Accepted (ET)
Dec 16, 2015 · 8:28 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 StockF1 | Dec 14, 2015 | M | 5,000 | $27.10 | A | 26,771 | D | |
| Common StockF2 | Dec 14, 2015 | M | 534 | $0.00 | A | 27,305 | D | |
| Common Stock | Dec 14, 2015 | F | 224 | $56.32 | D | 27,081 | D | |
| Common Stock | Dec 14, 2015 | S | 5,000 | $55.89 | D | 22,081 | D | |
| Common StockF3 | holding | — | — | — | 1,309 | 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)F4 | $27.10 | Dec 14, 2015 | M | 5,000 | D | — | Jan 22, 2017 | Common Stock | 5,000 | 5,000 | D |
| Restricted Stock UnitsF2 | — | Dec 14, 2015 | M | 534 | D | Dec 14, 2015 | Dec 14, 2015 | Common Stock | 534 | 0 | D |
Explanation of responses
- F1Includes 106 shares of common stock acquired on December 2, 2015 pursuant to the registrant's Employee Stock Purchase Plan.
- F2Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.
- F3Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 11, 2015.
- F4Of the 25,000 employee stock options granted on 11/22/2011, 60% vested and became exercisable on 11/22/2014, 20% on 11/22/2015 and 20% will vest on 11/22/2016.
Remarks
This Form 4 reports (1) the vesting of RSUs awarded to the reporting person on 12/14/2012, (2) the related disposition by the reporting person to the issuer to cover tax liability, (3) the partial exercise of employee stock options granted on 11/22/2011, and (3) the open market sale by the reporting person of shares of common stock.