SEC Form 4 · accession 0001225208-16-025635
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
Feb 3, 2016
Accepted (ET)
Feb 4, 2016 · 11:18 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 | Feb 3, 2016 | M | 7,500 | $27.10 | A | 65,007 | D | |
| Common Stock | holding | — | — | — | 3,240 | I | By Spouse | |
| Common StockF1 | holding | — | — | — | 691 | I | By spouse through ESOP | |
| Common StockF2 | holding | — | — | — | 30,898 | 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 | $27.10 | Feb 3, 2016 | M | 7,500 | D | — | Jan 22, 2017 | Common Stock | 7,500 | 17,500 | D |
| Employee Stock Option (right to buy)F4 | $27.10 | holding | — | — | — | — | Jan 22, 2017 | Common Stock | 500 | 500 | I |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's spouse's ESOP account through February 2, 2016.
- F2Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through February 2, 2016.
- F3Of the 25,000 employee stock options granted on 2/23/2012, 15,000 became exercisable on 11/22/2014, 5,000 on 11/22/2015, and 5,000 will vest on 11/22/2016.
- F4Of the 500 employee stock options granted on 11/22/2011, 300 vested on 11/22/2014, 100 on 11/22/2015 and 100 will vest on 11/22/2016.
Remarks
This Form 4 reports the partial exercise of stock options by the reporting person.