SEC Form 4 · accession 0001225208-17-003168
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
Feb 13, 2017
Accepted (ET)
Feb 14, 2017 · 3:18 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 | Feb 13, 2017 | S | 7,752 | $77.7477 | D | 53,636 | D | |
| Common Stock | holding | — | — | — | 3,740 | I | By Spouse | |
| Common StockF3 | holding | — | — | — | 769 | I | By spouse through ESOP | |
| Common StockF4 | holding | — | — | — | 14,419 | 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 $77.43 to $78.03.
- F3Includes shares of common stock acquired under the reporting person's spouse's ESOP account through February 10, 2017.
- F4Since the date of the reporting person's last Form 4 reflecting common stock holdings, the reporting person has disposed of 5,000 shares held in his ESOP account pursuant to a diversification election made under the Internal Revenue Code, and his ESOP account has received additional allocations under the ESOP through February 10, 2017.
Remarks
This Form 4 reports the open market sale of common stock by the reporting person.