SEC Form 4 · accession 0001225208-18-014948
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott A Curtis
Officer — President - RJFS
Period of report
Oct 26, 2018
Accepted (ET)
Oct 30, 2018 · 2:48 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 | 4,000 | $37.87 | A | 65,329 | D | |
| Common Stock | Oct 26, 2018 | F | 468 | $73.00 | D | 64,861 | D | |
| Common StockF1 | holding | — | — | — | 2,221 | 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 | $37.87 | Oct 26, 2018 | M | 4,000 | D | — | Nov 29, 2019 | Common Stock | 4,000 | 1,582 | 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 11/29/2015, 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 tax liability in connection with such exercise.