SEC Form 4 · accession 0001225208-18-000708
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James E Bunn
Officer — Co-Pres-GlobEq&Inv Banking-RJA
Period of report
Jan 2, 2018
Accepted (ET)
Jan 4, 2018 · 5:39 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 | Jan 2, 2018 | M | 3,000 | $55.49 | A | 13,144 | D | |
| Common Stock | Jan 2, 2018 | M | 2,397 | $48.20 | A | 15,541 | D | |
| Common Stock | Jan 2, 2018 | M | 500 | $37.87 | A | 16,041 | D | |
| Common Stock | Jan 2, 2018 | F | 3,075 | $88.86 | D | 12,966 | D | |
| Common StockF1 | holding | — | — | — | 880 | 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 | $55.49 | Jan 2, 2018 | M | 3,000 | D | — | Nov 20, 2021 | Common Stock | 3,000 | 2,000 | D |
| Employee Stock Option (right to buy)F3 | $48.20 | Jan 2, 2018 | M | 2,397 | D | — | Nov 21, 2020 | Common Stock | 2,397 | 800 | D |
| Employee Stock Option (right to buy)F4 | $37.87 | Jan 2, 2018 | M | 500 | D | — | Nov 29, 2019 | Common Stock | 500 | 0 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through January 2, 2018.
- F2Of the 5,000 employee stock options granted on 11/20/2014, 60% vested on 11/20/2017, 20% will vest on 11/20/2018, and 20% will vest on 11/20/2019.
- F3Of the 4,000 employee stock options granted on 11/21/2013, 60% vested on 11/21/2016, 20% vested on 11/21/2017, and 20% will vest on 11/21/2018.
- F4Of the 1,250 employee stock options granted on 11/29/2012, 60% vested on 11/29/2015, 20% vested on 11/29/2016, and 20% vested on 11/29/2017.
Remarks
This Form 4 reports the exercise of stock options with respect to shares of common stock and the disposition of common stock to the issuer to cover taxes and the exercise price.