0001182775-19-000003.txt : 20190214 0001182775-19-000003.hdr.sgml : 20190214 20190214153909 ACCESSION NUMBER: 0001182775-19-000003 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190214 DATE AS OF CHANGE: 20190214 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-37213 FILM NUMBER: 19605516 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: JAMES THOMAS A CENTRAL INDEX KEY: 0001182775 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33772 SC 13G 1 thomasajamessc13grjf2019.htm Document


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No.    )*
RAYMOND JAMES FINANCIAL, INC.
(Name of Issuer)

Common Stock
$0.01 Par Value
(Title of Class of Securities)

754730109
(CUSIP Number)

July 1, 1983
(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 ☐ Rule 13d-1(b)
 ☐ Rule 13d-1(c)
x Rule 13d-1(d)

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
 
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).


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CUSIP No.: 754730109
(1)
 
NAMES OF REPORTING PERSONS
 
 
Thomas A. James
(2)
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

(a) ☐

(b) ☐
(3)
 
SEC USE ONLY
(4)
 
CITIZENSHIP OR PLACE OF ORGANIZATION
 
 
United States
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:
(5)
SOLE VOTING POWER

13,790,440
(6)
SHARED VOTING POWER

117,087 (1)
(7)
SOLE DISPOSITIVE POWER

13,790,440
(8)
SHARED DISPOSITIVE POWER

117,087 (1)
(9)
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

13,907,527 (1)
(10)
 
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

☐
(11)
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

9.9%
(12)
 
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

IN






                             
(1) Includes 108,087 shares of Common Stock owned by the spouse of the reporting person. The reporting person disclaims ownership of these shares.


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Item 1.
 
 
 
Item 1(a)
Name of Issuer:
 
 
 
Raymond James Financial, Inc.
 
 
Item 1(b)
Address of Issuer’s Principal Executive Offices:
 
 
 
880 Carillon Parkway
St. Petersburg, Florida 33716
 
 
Item 2.
 
 
 
Item 2(a)
Name of Person Filing:
 
 
 
Thomas A. James
 
 
Item 2(b)
Address of Principal Business Office or, if None, Residence:
 
 
 
Thomas A. James
c/o Raymond James Financial, Inc.
880 Carillon Parkway
St. Petersburg, Florida 33716
 
 
Item 2(c)
Citizenship:
 
 
 
United States
 
 
Item 2(d)
Title of Class of Securities:
 
 
 
Common Stock, $0.01 Par Value
 
 
Item 2(e)
CUSIP No.:
 
 
 
754730109
 
 
Item 3.
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
 
 
 
Not applicable.
 
 
Item 4.
Ownership
 
 
 
The information set forth in rows 5 through 11 of the cover page hereto is incorporated herein by reference.
 
 

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Item 5.
Ownership of Five Percent or Less of a Class.
 
 
 
Not applicable.
 
 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person.
 
 
 
Not applicable.
 
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
 
 
 
Not applicable.
 
 
Item 8.
Identification and Classification of Members of the Group.
 
 
 
Not applicable.
 
 
Item 9.
Notice of Dissolution of Group.
 
 
 
Not applicable.
 
 
Item 10.
Certifications.
 
 
 
Not applicable.
 
 





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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated:  February 14, 2019
 
 
 
 
 
 
 
 
 
 
 
/s/ Thomas A. James
 
 
Thomas A. James
 
 
 


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