SEC Form 4 · accession 0001225208-16-042345
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tashtego S Elwyn
Officer — President - RJA
Period of report
Nov 28, 2016
Accepted (ET)
Nov 29, 2016 · 4:25 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 28, 2016 | M | 6,000 | $48.20 | A | 18,552 | D | |
| Common Stock | Nov 29, 2016 | S | 6,000 | $71.03 | D | 12,552 | D | |
| Common StockF1 | holding | — | — | — | 3,985 | 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)F2 | $48.20 | Nov 28, 2016 | M | 6,000 | D | — | Nov 21, 2020 | Common Stock | 6,000 | 4,000 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 21, 2016.
- F2Of the 10,000 stock options granted on 11/21/2013, 60% vested on 11/21/2016, 20% will vest on 11/21/2017 and 20% on 11/21/2018.
Remarks
This Form 4 reports (1) the exercise of employee stock options and (2) the open market sale of shares of common stock by the reporting person.