Statement of Changes in Beneficial Ownership (4)

Date : 12/07/2017 @ 6:24PM
Source : Edgar (US Regulatory)
Stock : Raymond James Financial, Inc. (RJF)
Quote : 87.86  -1.67 (-1.87%) @ 4:02PM

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

JULIEN JEFFREY P
2. Issuer Name and Ticker or Trading Symbol

RAYMOND JAMES FINANCIAL INC [ RJF ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
CFO, Executive VP - Fin
(Last)          (First)          (Middle)

880 CARILLON PARKWAY
3. Date of Earliest Transaction (MM/DD/YYYY)

12/5/2017
(Street)

ST. PETERSBURG, FL 33716
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   12/5/2017     M    2500.0000   A $37.8700   50384.0000   D    
Common Stock   12/5/2017     M    110.0000   A $48.2000   50494.0000   D    
Common Stock                  3740.0000   I   By Spouse  
Common Stock                  816.0000   (1) I   By spouse through ESOP  
Common Stock                  9554.0000   (2) I   ESOP  

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy)   $48.2000   12/5/2017     M         110.0000      (3) 11/21/2020   Common Stock   110.0000   $0.0000   12390.0000   D    
Employee Stock Option (right to buy)   $37.8700   12/5/2017     M         2500.0000      (4) 11/29/2019   Common Stock   2500.0000   $0.0000   0.0000   D    

Explanation of Responses:
(1)  Includes shares of common stock acquired under the reporting person's spouse's Employee Stock Ownership Plan (ESOP) account through November 28, 2017.
(2)  Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 28, 2017.
(3)  The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and will vest 20% on 11/21/2018.
(4)  The 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 granted on 11/29/2012, and (2) the partial exercise of employee stock options granted on 11/21/2013 by the reporting person.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
JULIEN JEFFREY P
880 CARILLON PARKWAY
ST. PETERSBURG, FL 33716


CFO, Executive VP - Fin

Signatures
/s/ Jeffrey P. Julien by Jonathan J. Doyle as Attorney-in-Fact 12/7/2017
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

Raymond James (NYSE:RJF)
Historical Stock Chart

1 Year : From Dec 2016 to Dec 2017

Click Here for more Raymond James Charts.

Raymond James (NYSE:RJF)
Intraday Stock Chart

Today : Wednesday 13 December 2017

Click Here for more Raymond James Charts.

Latest RJF Messages

{{bbMessage.M_Alias}} {{bbMessage.MSG_Date}} {{bbMessage.HowLongAgo}} {{bbMessage.MSG_ID}} {{bbMessage.MSG_Subject}}

Loading Messages....


No posts yet, be the first! No {{symbol}} Message Board. Create One! See More Posts on {{symbol}} Message Board See More Message Board Posts


Your Recent History
LSE
GKP
Gulf Keyst..
LSE
QPP
Quindell
FTSE
UKX
FTSE 100
LSE
IOF
Iofina
FX
GBPUSD
UK Sterlin..
Stocks you've viewed will appear in this box, letting you easily return to quotes you've seen previously.

Register now to create your own custom streaming stock watchlist.


NYSE, AMEX, and ASX quotes are delayed by at least 20 minutes.
All other quotes are delayed by at least 15 minutes unless otherwise stated.