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