0001225208-19-014248.txt : 20191107 0001225208-19-014248.hdr.sgml : 20191107 20191107150750 ACCESSION NUMBER: 0001225208-19-014248 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191105 FILED AS OF DATE: 20191107 DATE AS OF CHANGE: 20191107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TROCIN JEFFREY E CENTRAL INDEX KEY: 0001185788 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 191199982 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 doc4.xml X0306 4 2019-11-05 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001185788 TROCIN JEFFREY E 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 Vice Chairman Common Stock 2019-11-05 4 S 0 17360.0000 88.0915 D 175410.0000 D Common Stock 5874.0000 I ESOP 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 $88.00 to $88.21. Includes 74 shares of common stock acquired on September 4, 2019, pursuant to the registrant's Employee Stock Purchase Plan. Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 5, 2019. This Form 4 reports the open market sale by the reporting person of shares of common stock. /s/ Jeffrey E. Trocin by Jonathan J. Doyle as Attorney-in-Fact 2019-11-07