SEC Form 4 · accession 0001225208-16-023657
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey P Julien
Officer — CFO, Executive VP - Fin
Period of report
Jan 4, 2016
Accepted (ET)
Jan 6, 2016 · 7:31 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 Stock | Jan 4, 2016 | M | 25,000 | $25.28 | A | 64,755 | D | |
| Common Stock | Jan 4, 2016 | F | 7,248 | $56.34 | D | 57,507 | D | |
| Common Stock | Jan 4, 2016 | M | 500 | $28.74 | A | 3,240 | I | By Spouse |
| Common StockF1 | holding | — | — | — | 679 | I | By spouse through ESOP | |
| Common StockF2 | holding | — | — | — | 30,756 | 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)F3 | $25.28 | Jan 4, 2016 | M | 25,000 | D | — | Jan 24, 2016 | Common Stock | 25,000 | 0 | D |
| Employee Stock Option (right to buy)F4 | $28.74 | Jan 4, 2016 | M | 500 | D | — | Jan 23, 2016 | Common Stock | 500 | 0 | I |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's spouse's Employee Stock Ownership Plan (ESOP) account through December 11, 2015.
- F2Includes shares of common stock acquired under the reporting person's ESOP account through December 11, 2015.
- F3Of the employee stock options granted on 11/24/2009, 15,000 vested and became exercisable on 11/24/2012, 2,090 on 11/24/2013, 3,955 on 11/24/2014 and 3,955 on 1/24/2015.
- F4Of the employee stock options granted on 11/23/2010, 300 vested and became exercisable on 11/23/2013, 100 on 11/23/2014 and 100 on 11/23/2015.
Remarks
This Form 4 reports (1) the exercise of employee stock options by the reporting person, (2) the related disposition by the reporting person to the issuer of shares to cover the exercise price and taxes, and (3) the exercise of employee stock options granted to the reporting person's spouse.