SEC Form 4 · accession 0001225208-16-023942
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis W Zank
Officer — Chief Operating Officer
Period of report
Jan 7, 2016
Accepted (ET)
Jan 8, 2016 · 3:37 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 Stock | Jan 7, 2016 | M | 7,500 | $37.87 | A | 168,379 | D | |
| Common Stock | Jan 7, 2016 | M | 5,000 | $27.10 | A | 173,379 | D | |
| Common StockF1 | holding | — | — | — | 50,849 | 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 7, 2016 | M | 5,000 | D | — | Jan 22, 2017 | Common Stock | 5,000 | 5,000 | D |
| Employee Stock Option (right to buy)F3 | $37.87 | Jan 7, 2016 | M | 7,500 | D | — | Nov 29, 2019 | Common Stock | 7,500 | 5,000 | 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 25,000 employee stock options granted on 2/23/2012, 15,000 vested and became exercisable on 11/22/2014, 5,000 on 11/22/2015 and 5,000 will vest on 11/22/2016.
- F3Of the 12,500 employee stock options granted on 11/29/2012, 7,500 vested and became exercisable on 11/29/2015, 2,500 will vest on 11/29/2016 and 2,500 on 11/29/2017.
Remarks
This Form 4 reports the partial exercise of stock options granted on (1) 2/23/2012 and (2) 11/29/2012.