0001223203-19-000022.txt : 20190508
0001223203-19-000022.hdr.sgml : 20190508
20190508110345
ACCESSION NUMBER: 0001223203-19-000022
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190506
FILED AS OF DATE: 20190508
DATE AS OF CHANGE: 20190508
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: 19805608
MAIL ADDRESS:
STREET 1: 880 CARILLON PARKWAY
CITY: ST. PETERSBURG
STATE: FL
ZIP: 33716
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
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2019-05-06
0
0000720005
RAYMOND JAMES FINANCIAL INC
RJF
0001422342
Raney Steven M
880 CARILLON PARKWAY
ST. PETERSBURG
FL
33716
0
1
0
0
President & CEO RJBank
Common Stock
2019-05-06
4
M
0
2500
48.2
A
34031
D
Common Stock
2019-05-06
4
M
0
2500
55.49
A
36531
D
Common Stock
2019-05-06
4
S
0
2926
90.6003
D
33605
D
Common Stock
1652
I
ESOP
Employee Stock Option (Right to buy)
48.2
2019-05-06
4
M
0
2500
0
D
2020-11-21
Common Stock
2500
0
D
Employee Stock Option (Right to buy)
55.49
2019-05-06
4
M
0
2500
0
D
2021-11-20
Common Stock
2500
2500
D
Includes 74 shares of common stock acquired on March 4, 2019, pursuant to the registrant's Employee Stock Purchase Plan.
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 $90.60 to $90.61
Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through May 6, 2019.
The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018.
The stock option vested 60% on 11/20/2017, 20% on 11/20/2018, and will vest 20% on 11/20/2019
This Form 4 reports the exercise of employee stock options by the reporting person and the open market sale by the reporting person of shares of common stock.
s/ Steven M. Raney by Jonathan J. Doyle as Attorney-in-Fact
2019-05-08