SEC Form 4 · accession 0001225208-18-001479

RAYMOND JAMES FINANCIAL INC · RJF

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

Reporting owner

Officer — CFO, Executive VP - Fin

Period of report

Jan 23, 2018

Accepted (ET)

Jan 25, 2018 · 11:35 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 23, 2018	M	1,000	$37.87	A	4,740	I	By Spouse
Common Stock	Jan 23, 2018	M	800	$48.20	A	5,540	I	By Spouse
Common Stock	holding	—	—		—	52,775	D
Common Stock^F1	holding	—	—		—	818	I	By spouse through ESOP
Common Stock^F2	holding	—	—		—	1	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)^F3	$48.20	Jan 23, 2018	M	800	D	—	Jan 21, 2019	Common Stock	800	200	I
Employee Stock Option (right to buy)^F4	$37.87	Jan 23, 2018	M	1,000	D	—	Jan 29, 2018	Common Stock	1,000	0	I

F1Includes shares of common stock acquired under the reporting person's spouse's ESOP account through January 22, 2018.
F2Since the date of the reporting person's last Form 4 reflecting common stock holdings, the reporting person has disposed of 9,554 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 January 22, 2018.
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.

This Form 4 reports the exercise of employee stock options by the reporting person's spouse.