SEC Form 4 · accession 0001225208-18-004841
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bella Loykhter Allaire
Officer — Executive Vice President-RJA
Period of report
Feb 27, 2018
Accepted (ET)
Mar 1, 2018 · 9:44 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 | Feb 27, 2018 | M | 2,500 | $37.87 | A | 44,231 | D | |
| Common Stock | Feb 27, 2018 | M | 110 | $48.20 | A | 44,341 | D | |
| Common Stock | Feb 27, 2018 | F | 1,066 | $93.70 | D | 43,275 | D | |
| Common StockF1 | holding | — | — | — | 409 | 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 | $48.20 | Feb 27, 2018 | M | 110 | D | — | Nov 21, 2020 | Common Stock | 110 | 12,390 | D |
| Employee Stock Option (right to buy)F3 | $37.87 | Feb 27, 2018 | M | 2,500 | D | — | Nov 29, 2019 | Common Stock | 2,500 | 10,000 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through February 27, 2018.
- F2The stock option vested 60% on 11/21/2016, vested 20% on 11/21/2017, and will vest 20% on 11/21/2018.
- F3The 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 exercise of stock options and the disposition of common stock to the issuer to cover the exercise price.