SEC Form 4 · accession 0001225208-18-014925

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

Oct 26, 2018

Accepted (ET)

Oct 29, 2018 · 4:38 pm EDT

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	Oct 26, 2018	M	9,890	$48.20	A	62,665	D
Common Stock	Oct 26, 2018	M	7,500	$55.49	A	70,165	D
Common Stock	holding	—	—		—	5,540	I	By Spouse
Common Stock^F1	holding	—	—		—	862	I	By spouse through ESOP
Common Stock^F2	holding	—	—		—	58	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	$55.49	Oct 26, 2018	M	7,500	D	—	Nov 20, 2021	Common Stock	7,500	5,000	D
Employee Stock Option (right to buy)^F4	$48.20	Oct 26, 2018	M	9,890	D	—	Nov 21, 2020	Common Stock	9,890	2,500	D

F1Includes shares of common stock acquired under the reporting person's spouse's Employee Stock Ownership Plan (ESOP) account through October 25, 2018.
F2Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through October 25, 2018.
F3On November 20, 2014, the reporting person received a grant of 12,500 stock options. Stock options vested 60% on 11/21/2017, and will vest 20% on 11/21/2018, and 20% on 11/21/2019.
F4The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and will vest 20% on 11/21/2018.

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