SEC Form 4 · accession 0001225208-17-018372

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

Dec 5, 2017

Accepted (ET)

Dec 7, 2017 · 6:22 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	Dec 5, 2017	M	2,500	$37.87	A	50,384	D
Common Stock	Dec 5, 2017	M	110	$48.20	A	50,494	D
Common Stock	holding	—	—		—	3,740	I	By Spouse
Common Stock^F1	holding	—	—		—	816	I	By spouse through ESOP
Common Stock^F2	holding	—	—		—	9,554	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 5, 2017	M	110	D	—	Nov 21, 2020	Common Stock	110	12,390	D
Employee Stock Option (right to buy)^F4	$37.87	Dec 5, 2017	M	2,500	D	—	Nov 29, 2019	Common Stock	2,500	0	D

Explanation of responses

F1Includes shares of common stock acquired under the reporting person's spouse's Employee Stock Ownership Plan (ESOP) account through November 28, 2017.
F2Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 28, 2017.
F3The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and will vest 20% on 11/21/2018.
F4The 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.