SEC Form 4 · accession 0001225208-18-015921
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul C Reilly
Officer — Chief Executive Officer · Director
Period of report
Nov 26, 2018
Accepted (ET)
Nov 28, 2018 · 9:29 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 | Nov 26, 2018 | M | 2,500 | $55.49 | A | 109,743 | D | |
| Common Stock | Nov 26, 2018 | M | 2,500 | $48.20 | A | 112,243 | D | |
| Common Stock | Nov 26, 2018 | F | 3,632 | $79.16 | D | 108,611 | D | |
| Common StockF1 | holding | — | — | — | 905 | 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 | Nov 26, 2018 | M | 2,500 | D | — | Nov 20, 2021 | Common Stock | 2,500 | 2,500 | D |
| Employee Stock Option (right to buy)F3 | $48.20 | Nov 26, 2018 | M | 2,500 | D | — | Nov 21, 2020 | Common Stock | 2,500 | 0 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 18, 2018.
- F2The stock option vested 60% on 11/20/2017, 20% on 11/20/2018, and will vest 20% on 11/20/2019.
- F3The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018.
Remarks
This Form 4 reports (i) the exercise of employee stock options by the reporting person and (ii) a disposition by the reporting person to the issuer to cover the exercise price and tax liability in connection with such exercise.