0001225208-20-013135.txt : 20201105
0001225208-20-013135.hdr.sgml : 20201105
20201105165356
ACCESSION NUMBER: 0001225208-20-013135
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201103
FILED AS OF DATE: 20201105
DATE AS OF CHANGE: 20201105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Allison Paul D
CENTRAL INDEX KEY: 0001453440
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09109
FILM NUMBER: 201291316
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
2020-11-03
0000720005
RAYMOND JAMES FINANCIAL INC
RJF
0001453440
Allison Paul D
880 CARILLON PARKWAY
ST. PETERSBURG
FL
33716
1
Chair, President & CEO RJ Ltd.
Common Stock
2020-11-03
4
M
0
12500.0000
48.2000
A
28914.0000
D
Common Stock
2020-11-03
4
F
0
7533.0000
79.9800
D
21381.0000
D
Common Stock
2020-11-04
4
S
0
4150.0000
78.0703
D
17231.0000
D
Common Stock
2020-11-04
4
S
0
1550.0000
77.9653
D
23950.0000
I
Rose Allison Holdings Inc.
Employee Stock Option (right to buy)
48.2000
2020-11-03
4
M
0
12500.0000
0.0000
D
2020-11-21
Common Stock
12500.0000
0.0000
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 $78.02 to $78.18.
Reflects the weighted average sale price. The range of prices for such transaction was $77.94 to $78.03.
A corporation that is wholly owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018.
This Form 4 reports (1) the exercise of stock options and disposition of 7,533 shares of common stock to the issuer to cover the exercise price, (2) the open market sale by the reporting person of shares of common stock, and (3) the open market sale of shares of common stock by a corporation that is wholly owned by the reporting person's spouse.
/s/ Paul D. Allison by Jonathan J. Doyle as Attorney-in-Fact
2020-11-05