SEC Form 4 · accession 0001225208-17-003910
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
Feb 21, 2017
Accepted (ET)
Feb 21, 2017 · 3:06 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 | Feb 16, 2017 | G | 450 | $0.00 | D | 17,425 | D | |
| Common StockF2 | Feb 21, 2017 | S | 4,000 | $79.2058 | D | 13,425 | D | |
| Common StockF3 | 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
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 $79.20 to $79.23.
- F3Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through January 24, 2016.
Remarks
This Form 4 reports (i) the gift of shares by the reporting person and (ii) the open market sale of common stock by the reporting person.