SEC Form 4 · accession 0001225208-16-042197
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey A Dowdle
Officer — President, Asset Mgmt Group
Period of report
Nov 21, 2016
Accepted (ET)
Nov 23, 2016 · 3:57 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 17, 2016 | G | 353 | $0.00 | D | 34,396 | D | |
| Common StockF1 | Nov 21, 2016 | A | 2,027 | $0.00 | A | 36,423 | D | |
| Common Stock | Nov 22, 2016 | M | 10,000 | $27.10 | A | 46,423 | D | |
| Common Stock | Nov 22, 2016 | F | 3,695 | $73.33 | D | 42,728 | D | |
| Common StockF2 | holding | — | — | — | 7,745 | I | ESOP | |
| Common StockF3 | holding | — | — | — | 1,500 | I | UTMA Custodian for Daughter EC | |
| Common StockF3 | holding | — | — | — | 1,500 | I | UTMA Custodian for Son GT |
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)F4 | $27.10 | Nov 22, 2016 | M | 10,000 | D | — | Jan 22, 2017 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/13/2013.
- F2Includes shares of common stock acquired under the reporting person's Employee Stock Ownership (ESOP) account through November 21, 2016.
- F3The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F4Options became exercisable - 6,000 on 11/22/14, 2,000 on 11/22/15 and 2,000 on 11/22/16.
Remarks
This Form 4 reports (1) a gift of shares by the reporting person, (2) the acquisition by the reporting person of common stock resulting from the vesting of RSUs granted on 12/13/2013 based on the company's attaining certain levels of average after-tax return-on-equity over a three-year measurement period, (3) the exercise of employee stock options by the reporting person, and (4) the related disposition by the reporting person to the issuer of shares to cover the exercise price and taxes related to such exercise of employee stock options.