SEC Form 4 · accession 0001225208-16-042856
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul C Reilly
Officer — Chief Executive Officer · Director
Period of report
Dec 5, 2016
Accepted (ET)
Dec 7, 2016 · 4:41 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 | Dec 5, 2016 | M | 1,310 | $27.10 | A | 126,362 | D | |
| Common Stock | Dec 5, 2016 | F | 828 | $73.52 | D | 125,534 | D | |
| Common Stock | Dec 6, 2016 | M | 3,690 | $27.10 | A | 129,224 | D | |
| Common StockF1 | holding | — | — | — | 763 | 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 | Dec 5, 2016 | M | 1,310 | D | — | Jan 22, 2017 | Common Stock | 1,310 | 3,690 | D |
| Employee Stock Option (right to buy)F2 | $27.10 | Dec 6, 2016 | M | 3,690 | D | — | Jan 22, 2017 | Common Stock | 3,690 | 0 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 5, 2016.
- F2Of the 25,000 options granted, 15,000 became exercisable on 11/22/2014, 5,000 on 11/22/2015, and 5,000 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.