FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
RAYMOND JAMES FINANCIAL INC [ RJF ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/01/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/01/2014 | M | 4,951 | A | $25.28 | 12,720 | D | |||
Common Stock | 12/01/2014 | S(1) | 1,519 | D | $55.6661(2) | 11,201 | D | |||
Common Stock | 12/01/2014 | F | 2,248 | D | $55.67 | 8,953 | D | |||
Common Stock | 12/01/2014 | G | V | 100 | D | $0.0000 | 8,853 | D | ||
Common Stock | 12/02/2014 | M | 549 | A | $25.28 | 9,402 | D | |||
Common Stock | 12/03/2014 | S | 549 | D | $56.6404 | 8,853 | D | |||
Common Stock | 1,822(3) | I | ESOP |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $25.28 | 12/01/2014 | M | 4,951 | (4) | 01/24/2015 | Common Stock | 4,951 | $0.0000 | 549 | D | ||||
Employee Stock Option (right to buy) | $25.28 | 12/02/2014 | M | 549 | (4) | 01/24/2015 | Common Stock | 549 | $0.0000 | 0.0000 | D |
Explanation of Responses: |
1. The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. |
2. Reflects the weighted average sale price. The range of prices for such transaction was $55.66 to $55.69. |
3. Since the date of the reporting person's last Form 4 filing reflecting common stock holdings, the reporting person has disposed of 869 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 November 19, 2014. |
4. 1,100 options became exercisable on 11/24/2014; 1,100 became exercisable on 11/24/2013 and 3,300 on 11/24/2012. |
Remarks: |
This Form 4 reports (i) the gifting of shares by the reporting person to a charitable organization, (ii) the sale of shares of common stock, (iii) the exercise of 4,951 employee stock options and related disposition of 2,248 shares of common stock to the issuer to cover the exercise price therefor, and (iv) the exercise of 549 employee stock options and the open market sale of those shares by the reporting person. |
/s/ George Catanese by Paul L. Matecki as Attorney-in-Fact | 12/03/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |