0001225208-16-042404.txt : 20161130 0001225208-16-042404.hdr.sgml : 20161130 20161130152105 ACCESSION NUMBER: 0001225208-16-042404 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161128 FILED AS OF DATE: 20161130 DATE AS OF CHANGE: 20161130 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 CITY: ST PETERSBURG STATE: FL ZIP: 33716 BUSINESS PHONE: 727-567-1000 MAIL ADDRESS: STREET 1: 880 CARILLON PKWY 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: Catanese George CENTRAL INDEX KEY: 0001340350 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 162025155 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: X1 ZIP: 33716 4 1 doc4.xml X0306 4 2016-11-28 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001340350 Catanese George 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 Senior Vice President Common Stock 2016-11-28 4 S 0 6197.0000 71.5085 D 8314.0000 D Common Stock 2016-11-29 4 M 0 3200.0000 37.8700 A 11514.0000 D Common Stock 2016-11-29 4 F 0 1260.0000 71.1000 D 10254.0000 D Common Stock 1019.0000 I ESOP Employee Stock Option (right to buy) 37.8700 2016-11-29 4 M 0 3200.0000 0.0000 D 2019-11-29 Common Stock 3200.0000 800.0000 D 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. Reflects the weighted average sale price. The range of prices for such transaction was $71.48 to $71.52. Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 21, 2016. Of the 4,000 stock options granted on 11/29/2012, 60% vested on 11/29/2015, 20% on 11/29/2016, and 20% will vest on on 11/29/2017. This Form 4 reports (1) the open market sale by the reporting person of shares of common stock, (2) the exercise of employee stock options by the reporting person and (3) the related disposition by the reporting person to the issuer of shares to cover the exercise price and taxes. /s/ George Catanese by Jonathan J. Doyle as Attorney-in-Fact 2016-11-30