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