SEC Form 4 · accession 0001225208-16-042404
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Catanese
Officer — Senior Vice President
Period of report
Nov 28, 2016
Accepted (ET)
Nov 30, 2016 · 3:21 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 StockF2 | Nov 28, 2016 | S | 6,197 | $71.5085 | D | 8,314 | D | |
| Common Stock | Nov 29, 2016 | M | 3,200 | $37.87 | A | 11,514 | D | |
| Common Stock | Nov 29, 2016 | F | 1,260 | $71.10 | D | 10,254 | D | |
| Common StockF3 | holding | — | — | — | 1,019 | 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)F4 | $37.87 | Nov 29, 2016 | M | 3,200 | D | — | Nov 29, 2019 | Common Stock | 3,200 | 800 | D |
Explanation of responses
- F1The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
- F2Reflects the weighted average sale price. The range of prices for such transaction was $71.48 to $71.52.
- F3Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 21, 2016.
- F4Of the 4,000 stock options granted on 11/29/2012, 60% vested on 11/29/2015, 20% on 11/29/2016, and 20% will vest on on 11/29/2017.
Remarks
This Form 4 reports (1) the open market sale by the reporting person of shares of common stock, (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.