SEC Form 4 · accession 0001225208-16-024814
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey E Trocin
Officer — Executive Vice President - RJF
Period of report
Jan 26, 2016
Accepted (ET)
Jan 27, 2016 · 1:30 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 26, 2016 | M | 5,000 | $27.10 | A | 151,835 | D | |
| Common Stock | holding | — | — | — | 1,115 | I | By daughters | |
| Common StockF1 | holding | — | — | — | 15,680 | 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 26, 2016 | M | 5,000 | D | — | Jan 22, 2017 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through January 25, 2016.
- 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.
Remarks
This Form 4 reports the partial exercise of stock options by the reporting person.