SEC Form 4 · accession 0001225208-17-002092
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tashtego S Elwyn
Officer — President - RJA
Period of report
Jan 30, 2017
Accepted (ET)
Jan 31, 2017 · 8:43 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 30, 2017 | M | 791 | $37.87 | A | 16,248 | D | |
| Common Stock | Jan 30, 2017 | S | 791 | $74.0301 | D | 15,457 | D | |
| Common StockF1 | holding | — | — | — | 4,005 | I | ESOP | |
| Common Stock | holding | — | — | — | 50 | I | UTMA Custodian for Daughter | |
| Common Stock | holding | — | — | — | 50 | I | UTMA Custodian for Son |
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 | $37.87 | Jan 30, 2017 | M | 791 | D | — | Nov 29, 2019 | Common Stock | 791 | 4,418 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through January 24, 2016.
- F2Of the 10,000 employee stock options granted on 11/29/2012, 60% vested on 11/29/2015, 20% on 11/29/2016, and 20% will vest on 11/29/2017.
Remarks
This Form 4 reports (i) the exercise of employee stock options and (ii) the open market sale of shares of common stock by the reporting person.