SEC Form 4 · accession 0001225208-17-004876

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

Feb 27, 2017

Accepted (ET)

Feb 28, 2017 · 4:05 pm 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	Feb 27, 2017	M	10,000	$37.87	A	63,636	D
Common Stock	Feb 27, 2017	F	6,245	$79.41	D	57,391	D
Common Stock	holding	—	—		—	3,740	I	By Spouse
Common Stock^F1	holding	—	—		—	769	I	By spouse through ESOP
Common Stock^F2	holding	—	—		—	9,419	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	$37.87	Feb 27, 2017	M	10,000	D	—	Nov 29, 2019	Common Stock	10,000	2,500	D

Explanation of responses

F1Includes shares of common stock acquired under the reporting person's spouse's ESOP account through February 10, 2017.
F2Since the date of the reporting person's last Form 4 reflecting common stock holdings, the reporting person has disposed of 5,000 shares held in his ESOP account pursuant to a diversification election made under the Internal Revenue Code, and his ESOP account has received additional allocations under the ESOP through February 10, 2017.
F3Of 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.

Remarks

This Form 4 reports (i) the partial exercise of stock options by the reporting person and (ii) the related disposition by the reporting person to the issuer to cover taxes and the exercise price.