SEC Form 4 · accession 0001225208-18-014879
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
Oct 24, 2018
Accepted (ET)
Oct 26, 2018 · 10:21 am 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 StockF1 | Oct 24, 2018 | M | 17,360 | $37.87 | A | 180,167 | D | |
| Common StockF2 | holding | — | — | — | 5,713 | 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)F3 | $37.87 | Oct 24, 2018 | M | 17,360 | D | — | Nov 29, 2019 | Common Stock | 17,360 | 0 | D |
Explanation of responses
- F1Includes 62 shares of common stock acquired on March 2, 2018, 58 shares of common stock acquired on June 4, 2018, and 61 shares of common stock acquired on September 5, 2018, pursuant to the registrant's Employee Stock Purchase Plan.
- F2Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through October 24, 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 employee stock options by the reporting person.