SEC Form 4 · accession 0001225208-16-038465
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul D Allison
Officer — Chair, President & CEO RJ Ltd.
Period of report
Aug 25, 2016
Accepted (ET)
Aug 29, 2016 · 4:28 pm EDT
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 | Aug 25, 2016 | M | 12,500 | $27.10 | A | 34,530 | D | |
| Common Stock | Aug 25, 2016 | F | 5,986 | $56.59 | D | 28,544 | D | |
| Common StockF1 | holding | — | — | — | 9,628 | I | Rose Allison Holdings Inc. |
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 | Aug 25, 2016 | M | 12,500 | D | — | Jan 22, 2017 | Common Stock | 12,500 | 12,500 | D |
Explanation of responses
- F1A corporation that is wholly owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F2Of 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.
Remarks
allisonpaulpoa.txt This Form 4 reports (1) the exercise of 12,500 stock options of the 25,000 granted on 2/23/2012 and (2) the related disposition of shares by the reporting person to the issuer to cover taxes and the exercise price.