SEC Form 4 · accession 0001225208-16-041934
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
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 3:42 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 | Nov 15, 2016 | M | 12,500 | $27.10 | A | 58,907 | D | |
| Common Stock | Nov 15, 2016 | F | 7,000 | $71.90 | D | 51,907 | D | |
| Common Stock | holding | — | — | — | 3,240 | I | By Spouse | |
| Common StockF1 | holding | — | — | — | 762 | I | By spouse through ESOP | |
| Common StockF2 | holding | — | — | — | 31,352 | 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 | Nov 15, 2016 | M | 12,500 | D | — | Jan 22, 2017 | Common Stock | 12,500 | 5,000 | 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 November 15, 2016.
- F2Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 15, 2016.
- F3Of the 25,000 options granted, 15,000 became exerciseable on 11/22/2014, 5,000 on 11/22/2015, and 5,000 will become exerciseable on 11/22/2016.
- F4Of the 500 options granted, 300 became exerciseable on 11/22/2014, 100 on 11/22/2015 and 100 will become exerciseable on 11/22/2016.
Remarks
This Form 4 reports (1) the exercise of employee stock options by the reporting person, and (2) the related disposition by the reporting person to the issuer of shares to cover the exercise price and taxes.