SEC Form 4 · accession 0001225208-18-001897
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Carson Jr.
Officer — President
Period of report
Jan 29, 2018
Accepted (ET)
Jan 31, 2018 · 8:39 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 | Jan 29, 2018 | M | 1,802 | $55.49 | A | 58,468 | D | |
| Common StockF1 | holding | — | — | — | 454 | 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 29, 2018 | M | 1,802 | D | — | Nov 20, 2021 | Common Stock | 1,802 | 10,698 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through January 29, 2018.
- F2Of the 12,500 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.
Remarks
This Form 4 reports the partial exercise of employee stock options by the reporting person.