SEC Form 4 · accession 0001225208-17-000935
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey E Trocin
Officer — Executive Vice President - RJF
Period of report
Jan 6, 2017
Accepted (ET)
Jan 10, 2017 · 11:51 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 | Jan 6, 2017 | M | 3,690 | $27.10 | A | 163,244 | D | |
| Common Stock | Jan 6, 2017 | F | 1,339 | $74.66 | D | 161,905 | D | |
| Common StockF1 | holding | — | — | — | 8,950 | 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 6, 2017 | M | 3,690 | D | — | Jan 22, 2017 | Common Stock | 3,690 | 1,310 | 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 25,0000 employee stock options granted on 11/22/2011, 60% became exercisable on 11/22/2014, 20% on 11/22/2015, and 20% on 11/22/2016.
Remarks
This Form 4 reports (i) the exercise of employee stock options granted to the reporting person on 11/22/2011 and (ii) the related disposition by the reporting person to the issuer to cover taxes and the exercise price.