SEC Form 4 · accession 0001225208-17-017756
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
Nov 27, 2017
Accepted (ET)
Nov 29, 2017 · 7:12 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 | Nov 27, 2017 | S | 47,290 | $85.4232 | D | 12,258,746 | I | By Thomas A. James Family Rev Trust |
| Common StockF3 | Nov 28, 2017 | S | 72,388 | $86.5932 | D | 12,186,358 | I | By Thomas A. James Family Rev Trust |
| Common StockF4 | Nov 28, 2017 | S | 80,322 | $85.7486 | D | 12,106,036 | I | By Thomas A. James Family Rev Trust |
| Common Stock | holding | — | — | — | 33,750 | I | By James Ventures, Inc. | |
| Common StockF5 | holding | — | — | — | 662,754 | I | By Robert A. James Trust | |
| Common Stock | holding | — | — | — | 1,000,000 | I | By TA James Ventures Partnership | |
| Common StockF6 | holding | — | — | — | 258 | 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 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 $85.35 to $85.50.
- F3Reflects the weighted average sale price. The range of prices for such transaction was $86.35 to $86.91.
- F4Reflects the weighted average sale price. The range of prices for such transaction was $85.35 to $86.34.
- F5The 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.
- F6Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 27, 2017.
Remarks
This Form 4 reports the open market sale by the reporting person of shares of common stock.