SEC Form 4 · accession 0001225208-17-010339
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A James
Officer — Chairman Emeritus · Director · 10% Owner
Period of report
Feb 1, 2017
Accepted (ET)
May 24, 2017 · 10:36 am EDT
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 StockF1 | Feb 1, 2017 | G | 662,754 | $0.00 | D | 662,754 | I | By Robert A. James Trust |
| Common StockF2 | holding | — | — | — | 33,750 | I | By James Ventures, Inc. | |
| Common StockF2 | holding | — | — | — | 1,000,000 | I | By TA James Ventures Partnership | |
| Common StockF2 | holding | — | — | — | 12,306,036 | I | By Thomas A. James Family Rev Trust | |
| Common StockF3 | holding | — | — | — | 227 | I | ESOP | |
| Common Stock | holding | — | — | — | 48,087 | I | Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person is the trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F2Shares previously shown as directly held.
- F3Includes shares of common stock held in the reporting person's Employee Stock Ownership Plan (ESOP) account through May 22, 2017.
Remarks
This Form 4 reports a gift of shares to the beneficiaries of a trust.