SEC Form 4 · accession 0001225208-18-014947
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
Oct 26, 2018
Accepted (ET)
Oct 30, 2018 · 2:47 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 | Oct 26, 2018 | M | 10,000 | $37.87 | A | 53,275 | D | |
| Common Stock | Oct 26, 2018 | M | 9,890 | $48.20 | A | 63,165 | D | |
| Common Stock | Oct 26, 2018 | M | 7,500 | $55.49 | A | 70,665 | D | |
| Common Stock | Oct 26, 2018 | F | 19,845 | $73.00 | D | 50,820 | D | |
| Common StockF1 | holding | — | — | — | 457 | 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 | Oct 26, 2018 | M | 7,500 | D | — | Nov 20, 2021 | Common Stock | 7,500 | 5,000 | D |
| Employee Stock Option (right to buy)F3 | $48.20 | Oct 26, 2018 | M | 9,890 | D | — | Nov 21, 2020 | Common Stock | 9,890 | 2,500 | D |
| Employee Stock Option (right to buy)F4 | $37.87 | Oct 26, 2018 | M | 10,000 | D | — | Nov 29, 2019 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through October 26, 2018.
- F2The stock option vested 60% on 11/21/2017, and will vest 20% on 11/21/2018, and 20% on 11/21/2019.
- F3The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and will vest 20% on 11/21/2018.
- F4The stock option vested 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.
Remarks
This Form 4 reports (1) the exercise of employee stock options by the reporting person, and (2) a disposition by the reporting person to the issuer to cover the exercise price and the tax liability in connection with such exercise.