SEC Form 4 · accession 0001225208-17-018415
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey A Dowdle
Officer — President, Asset Mgmt Group
Period of report
Dec 7, 2017
Accepted (ET)
Dec 11, 2017 · 11:21 am 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,F3 | Dec 7, 2017 | S | 8,021 | $88.6661 | D | 39,086 | D | |
| Common StockF4 | holding | — | — | — | 7,899 | I | ESOP | |
| Common StockF5 | holding | — | — | — | 1,500 | I | UTMA Custodian for Daughter EC | |
| Common StockF5 | holding | — | — | — | 1,500 | I | UTMA Custodian for Son GT |
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 $88.57 to $88.81.
- F3Includes 288 shares of common stock acquired on December 4, 2017 pursuant to the registrant's Employee Stock Purchase Plan.
- F4Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 28, 2017.
- F5The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
Remarks
This Form 4 reports the open market sale by the reporting person of shares of common stock.