SEC Form 4 · accession 0001225208-16-023669
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bella Loykhter Allaire
Officer — Executive Vice President-RJA
Period of report
Jan 4, 2016
Accepted (ET)
Jan 6, 2016 · 10:16 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 | 15,000 | $27.10 | A | 32,607 | D | |
| Common Stock | Jan 4, 2016 | F | 609 | $56.34 | D | 31,998 | D | |
| Common Stock | Jan 4, 2016 | F | 7,214 | $56.34 | D | 24,784 | D | |
| Common StockF1 | holding | — | — | — | 209 | 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 | Jan 4, 2016 | M | 15,000 | D | — | Jan 22, 2017 | Common Stock | 15,000 | 10,000 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 11, 2015.
- F2Of the employee stock options granted on 11/22/2011, 60% vested on 11/22/2014, 20% on 11/22/2015, and 20% will vest on 11/22/2016.
Remarks
This Form 4 reports (1) the exercise of 15,000 stock options of the 25,000 granted on 11/22/2011 to the reporting person, (2) the related disposition by the reporting person to the issuer of shares to cover taxes and the exercise price, and (3) a separate disposition to the issuer of shares to cover tax liability incident to the vesting of Performance RSUs, which vesting was previously timely reported on 11/20/2015.