SEC Form 4 · accession 0001225208-17-017629
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis W Zank
Officer — Chief Operating Officer
Period of report
Nov 21, 2017
Accepted (ET)
Nov 22, 2017 · 12:40 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 | Oct 2, 2017 | G | 600 | $0.00 | D | 139,618 | D | |
| Common Stock | Nov 21, 2017 | M | 110 | $48.20 | A | 139,728 | D | |
| Common StockF1 | holding | — | — | — | 52,412 | 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 | $48.20 | Nov 21, 2017 | M | 110 | D | — | Nov 21, 2020 | Common Stock | 110 | 4,890 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 20, 2017.
- F2The stock option vested 60% on 11/21/2016 and 20% on 11/21/2017, and will vest 20% on 11/21/2018.
Remarks
This Form 4 reports (1) the gift of shares and (2) the partial exercise of employee stock options by the reporting person.