SEC Form 4 · accession 0001225208-17-019016
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey E Trocin
Officer — Co-Pres-GlobEq&Inv Banking-RJA
Period of report
Dec 21, 2017
Accepted (ET)
Dec 22, 2017 · 11:12 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 Stock | Dec 21, 2017 | M | 2,640 | $37.87 | A | 162,626 | D | |
| Common StockF1 | holding | — | — | — | 5,587 | 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 21, 2017 | M | 2,640 | D | — | Nov 29, 2019 | Common Stock | 2,640 | 17,360 | 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 the partial exercise of employee stock options by the reporting person.