SEC Form 4 · accession 0001225208-17-000569
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott A Curtis
Officer — President - RJFS
Period of report
Jan 4, 2017
Accepted (ET)
Jan 5, 2017 · 1:16 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 | Jan 4, 2017 | M | 7,057 | $27.10 | A | 54,176 | D | |
| Common StockF1 | holding | — | — | — | 2,050 | 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 | Jan 4, 2017 | M | 7,057 | D | — | Jan 22, 2017 | Common Stock | 7,057 | 0 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 12, 2016.
- F2Of the 10,000 employee 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 the partial exercise of employee stock options granted to the reporting person on 11/22/2011.