SEC Form 4 · accession 0001225208-18-013315
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
Sep 10, 2018
Accepted (ET)
Sep 11, 2018 · 2:37 pm EDT
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 | Sep 10, 2018 | M | 5,698 | $55.49 | A | 64,166 | D | |
| Common StockF2 | Sep 10, 2018 | S | 5,698 | $92.6616 | D | 58,468 | D | |
| Common StockF3 | holding | — | — | — | 508 | 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)F4 | $55.49 | Sep 10, 2018 | M | 5,698 | D | — | Nov 20, 2021 | Common Stock | 5,698 | 5,000 | D |
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 $92.62 to $92.72.
- F3Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through September 10, 2018.
- F4On November 20, 2014, the reporting person received a grant of 12,500 stock options. Stock options vested 60% on 11/20/2017, will vest 20% on 11/20/2018, and will vest 20% on 11/20/2019.
Remarks
This Form 4 reports (1) the exercise of employee stock options by the reporting person and (2) the open market sale by the reporting person of shares of common stock.