SEC Form 4 · accession 0001225208-19-001096
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey P Julien
Officer — CFO, Executive VP - Fin
Period of report
Jan 18, 2019
Accepted (ET)
Jan 23, 2019 · 7:44 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 | Jan 18, 2019 | M | 200 | $48.20 | A | 5,860 | I | By Spouse |
| Common Stock | holding | — | — | — | 78,421 | D | ||
| Common StockF1 | holding | — | — | — | 872 | I | By spouse through ESOP | |
| Common StockF2 | holding | — | — | — | 68 | 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 | Jan 18, 2019 | M | 200 | D | — | Jan 21, 2019 | Common Stock | 200 | 0 | I |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's spouse's Employee Stock Ownership Plan (ESOP) account through January 18, 2019.
- F2Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through January 18, 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 the exercise of employee stock options by the reporting person's spouse.