SEC Form 4 · accession 0001225208-16-042370
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bella Loykhter Allaire
Officer — Executive Vice President-RJA
Period of report
Nov 28, 2016
Accepted (ET)
Nov 30, 2016 · 8:15 am 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 | 10,000 | $27.10 | A | 44,780 | D | |
| Common Stock | Nov 28, 2016 | F | 3,807 | $71.17 | D | 40,973 | D | |
| Common StockF1 | holding | — | — | — | 325 | 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 | $27.10 | Nov 28, 2016 | M | 10,000 | D | — | Jan 22, 2017 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 17, 2016.
- F2Of the 10,000 stock options granted on 11/22/2011, 60% vested on 11/22/2014, 20% on 11/22/2015 and 20% 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.