SEC Form 4 · accession 0001225208-17-000216

RAYMOND JAMES FINANCIAL INC · RJF

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Operating Officer

Period of report

Jan 3, 2017

Accepted (ET)

Jan 4, 2017 · 11:56 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 3, 2017	M	7,500	$48.20	A	155,083	D
Common Stock	Jan 3, 2017	M	2,500	$37.87	A	157,583	D
Common Stock	Jan 3, 2017	M	1,310	$27.10	A	158,893	D
Common Stock^F1	holding	—	—		—	51,762	I	ESOP

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	$27.10	Jan 3, 2017	M	1,310	D	—	Jan 22, 2017	Common Stock	1,310	0	D
Employee Stock Option (right to buy)^F3	$48.20	Jan 3, 2017	M	7,500	D	—	Nov 21, 2020	Common Stock	7,500	5,000	D
Employee Stock Option (right to buy)^F4	$37.87	Jan 3, 2017	M	2,500	D	—	Nov 29, 2019	Common Stock	2,500	2,500	D

F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 12, 2016.
F2Of the 25,000 employee stock options granted on 2/23/2012, 60% vested on 11/22/2014, 20% on 11/22/2015, and 20% on 11/22/2016.
F3Of the 12,500 employee stock options granted on 11/21/2013, 60% vested on 11/21/2016, 20% will vest on 11/21/2017, and 20% on 11/21/2018.
F4Of the 12,500 employee stock options granted on 11/29/2012, 60% vested on 11/29/2015, 20% on 11/29/2016, and 20% will vest on 11/29/2017.

This Form 4 reports the partial exercise of employee stock options granted on (i) 2/23/2012, (ii) 11/29/2012 and (iii) 11/21/2013.