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