SEC Form 4 · accession 0001225208-16-042204
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
Nov 21, 2016
Accepted (ET)
Nov 23, 2016 · 4:11 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 StockF1 | Nov 21, 2016 | A | 1,819 | $0.00 | A | 30,363 | D | |
| Common Stock | Nov 22, 2016 | M | 12,500 | $27.10 | A | 42,863 | D | |
| Common Stock | Nov 22, 2016 | F | 4,619 | $73.33 | D | 38,244 | D | |
| Common StockF2 | 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)F3 | $27.10 | Nov 22, 2016 | M | 12,500 | D | — | Jan 22, 2017 | Common Stock | 12,500 | 0 | D |
Explanation of responses
- F1Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/13/2013.
- F2A 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.
- F3Options became exercisable - 15,000 on 11/22/2014, 5,000 on 11/22/2015 and 5,000 on 11/22/2016
Remarks
This Form 4 reports (1) 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, (2) the exercise of employee stock options by the reporting person, and (3) 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.