SEC Form 4 · accession 0001225208-16-042941
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Carson Jr.
Officer — President
Period of report
Dec 8, 2016
Accepted (ET)
Dec 9, 2016 · 12:51 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 | Dec 8, 2016 | S | 20,000 | $73.8287 | D | 49,780 | D | |
| Common StockF3 | holding | — | — | — | 376 | I | ESOP |
Table II — derivative securities
No Table II lines on this filing.
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 $73.80 to $73.92.
- F3Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 17, 2016.
Remarks
This Form 4 reports the open market sale by the reporting person of shares of common stock.