SEC Form 4 · accession 0001225208-16-043232
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey P Julien
Officer — CFO, Executive VP - Fin
Period of report
Dec 13, 2016
Accepted (ET)
Dec 15, 2016 · 8:45 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 | Dec 13, 2016 | M | 5,000 | $27.10 | A | 59,136 | D | |
| Common StockF1 | Dec 13, 2016 | M | 2,252 | $0.00 | A | 61,388 | D | |
| Common Stock | Dec 13, 2016 | M | 500 | $27.10 | A | 3,740 | I | By Spouse |
| Common StockF2 | holding | — | — | — | 762 | I | By spouse through ESOP | |
| Common StockF3 | holding | — | — | — | 19,353 | 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 | $27.10 | Dec 13, 2016 | M | 5,000 | D | — | Jan 22, 2017 | Common Stock | 5,000 | 0 | D |
| Restricted Stock UnitsF1 | — | Dec 13, 2016 | M | 2,252 | D | Dec 13, 2016 | Dec 13, 2016 | Common Stock | 2,252 | 0 | D |
| Employee Stock Option (right to buy)F5 | $27.10 | Dec 13, 2016 | M | 500 | D | — | Jan 22, 2017 | Common Stock | 500 | 0 | I |
Explanation of responses
- F1Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.
- F2Includes shares of common stock acquired under the reporting person's spouse's ESOP account through December 12, 2016.
- F3Since the date of the reporting person's last Form 4 filing reflecting common stock holdings, the reporting person has disposed of 12,000 shares held in his ESOP account pursuant to a diversification election made under the Internal Revenue Code, and the reporting person's ESOP account has received additional allocations under the ESOP through December 12, 2016.
- F4Of the 25,000 employee stock options granted, 15,000 became exerciseable on 11/22/2014, 5,000 on 11/22/2015 and 5,000 on 11/22/2016.
- F5Of the 500 employee stock options granted, 300 became exerciseable on 11/22/2014, 100 on 11/22/2015 and 100 on 11/22/2016.
Remarks
This Form 4 reports (i) the vesting of RSUs awarded to the reporting person on 12/13/2013, (ii) the exercise of stock options granted to the reporting person on 11/22/2011, and (iii) the exercise of stock options granted to the reporting person's spouse on 11/22/2011.