SEC Form 4 · accession 0001225208-18-016598
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
Dec 12, 2018
Accepted (ET)
Dec 14, 2018 · 10:53 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 StockF1 | Dec 12, 2018 | M | 2,074 | $48.20 | A | 190,875 | D | |
| Common StockF2 | holding | — | — | — | 5,714 | 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 | $48.20 | Dec 12, 2018 | M | 2,074 | D | — | Nov 21, 2020 | Common Stock | 2,074 | 10,426 | D |
Explanation of responses
- F1Includes 71 shares of common stock acquired on December 4, 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 December 12, 2018.
- 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 the exercise of employee stock options by the reporting person.