0001225208-15-007210.txt : 20150309 0001225208-15-007210.hdr.sgml : 20150309 20150309122452 ACCESSION NUMBER: 0001225208-15-007210 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150305 FILED AS OF DATE: 20150309 DATE AS OF CHANGE: 20150309 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RAYMOND JAMES FINANCIAL INC CENTRAL INDEX KEY: 0000720005 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 591517485 STATE OF INCORPORATION: FL FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 880 CARILLON PKWY STREET 2: P O BOX 12749 CITY: ST PETERSBURG STATE: FL ZIP: 33716 BUSINESS PHONE: 727-567-1000 MAIL ADDRESS: STREET 1: P O BOX 12749 CITY: ST. PETERSBURG STATE: FL ZIP: 33716 FORMER COMPANY: FORMER CONFORMED NAME: RJ FINANCIAL CORP/FL DATE OF NAME CHANGE: 19870303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Raney Steven M CENTRAL INDEX KEY: 0001422342 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 15684310 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33716 4 1 doc4.xml X0306 4 2015-03-05 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001422342 Raney Steven M 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 President & CEO RJBank Common Stock 2015-03-05 4 S 0 16627.0000 58.0108 D 4277.0000 D Common Stock 2015-03-06 4 M 0 15000.0000 27.1000 A 19277.0000 D Common Stock 2015-03-06 4 M 0 1627.0000 25.2800 A 20904.0000 D Common Stock 1227.0000 I ESOP Employee Stock Option (right to buy) 27.1000 2015-03-06 4 M 0 15000.0000 0.0000 D 2017-01-22 Common Stock 15000.0000 10000.0000 D Employee Stock Option (right to buy) 25.2800 2015-03-06 4 M 0 1627.0000 0.0000 D 2016-01-24 Common Stock 1627.0000 0.0000 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 4, 2015. 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. Price reflects the weighted average sale price. The range of prices for such transaction was $58.00 to $58.06. The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 4, 2015. The stock option vests 60% on 11/22/2014, 20% on 11/22/2015 and 20% on 11/22/2016. Of the 25,000 employee stock options granted on 11/24/2009, 15,000 vested and became exercisable on 11/24/2012, 2,090 on 11/24/2013, 3,955 on 11/24/2014 and 3,955 on 01/24/2015. This Form 4 reports (i) the open market sale of 16,627 shares of common stock, (ii) a stock option exercise with respect to 1,627 shares of common stock, and (iii) a stock option exercise with respect to 15,000 shares of common stock, all effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 4, 2015. /s/ Steven M. Raney by Paul L. Matecki as Attorney-in-Fact 2015-03-09