SEC Form 4 · accession 0001225208-18-014926

RAYMOND JAMES FINANCIAL INC · RJF

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

Reporting owner

Paul C Reilly

Officer — Chief Executive Officer · Director

Period of report

Oct 25, 2018

Accepted (ET)

Oct 29, 2018 · 4:49 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 25, 2018	M	9,890	$48.20	A	108,140	D
Common Stock	Oct 25, 2018	M	7,500	$55.49	A	115,640	D
Common Stock	Oct 25, 2018	M	2,500	$37.87	A	118,140	D
Common Stock	Oct 25, 2018	F	15,749	$75.56	D	102,391	D
Common Stock^F1	holding	—	—		—	905	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)^F2	$55.49	Oct 25, 2018	M	7,500	D	—	Nov 20, 2021	Common Stock	7,500	5,000	D
Employee Stock Option (right to buy)^F3	$48.20	Oct 25, 2018	M	9,890	D	—	Nov 21, 2020	Common Stock	9,890	2,500	D
Employee Stock Option (right to buy)^F4	$37.87	Oct 25, 2018	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 Employee Stock Ownership Plan (ESOP) account through October 25, 2018.
F2On 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.
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 by the reporting person, and (2) a disposition by the reporting person to the issuer to cover tax liability in connection with such exercise.