SEC Form 4 · accession 0001225208-17-018194
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Catanese
Officer — SVP, Chief Risk Officer
Period of report
Dec 4, 2017
Accepted (ET)
Dec 5, 2017 · 3:16 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 | Dec 4, 2017 | M | 800 | $37.87 | A | 5,478 | D | |
| Common Stock | Dec 4, 2017 | G | 100 | $0.00 | D | 5,378 | D | |
| Common StockF1 | holding | — | — | — | 1,096 | 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 | $37.87 | Dec 4, 2017 | M | 800 | D | — | Nov 29, 2019 | Common Stock | 800 | 0 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 28, 2017.
- F2The stock option vested 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.
Remarks
This Form 4 reports (1) the exercise of employee stock options by the reporting person and (2) the gift of shares by the reporting person.