0001225208-21-003314.txt : 20210222 0001225208-21-003314.hdr.sgml : 20210222 20210222165159 ACCESSION NUMBER: 0001225208-21-003314 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210218 FILED AS OF DATE: 20210222 DATE AS OF CHANGE: 20210222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JAMES THOMAS A CENTRAL INDEX KEY: 0001182775 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 21661069 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33772 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 2021-02-18 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001182775 JAMES THOMAS A 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 1 Chairman Emeritus Common Stock 2021-02-18 4 S 0 27608.0000 116.5813 D 635146.0000 I By Robert A. James Trust Common Stock 2021-02-19 4 S 0 192392.0000 116.6159 D 442754.0000 I By Robert A. James Trust Common Stock 900.0000 I By Harbus Investors, Inc. Common Stock 33750.0000 I By James Ventures, Inc. Common Stock 1000000.0000 I By TA James Ventures Partnership Common Stock 11726874.0000 I By Thomas A. James Family Rev Trust Common Stock 426.0000 I ESOP Common Stock 108087.0000 I Spouse 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 $116.55 to $116.92. The reporting person is the trustee of the trust. 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. Reflects the weighted average sale price. The range of prices for such transaction was $116.55 to $117.18. Includes shares of common stock held in the reporting person's Employee Stock Ownership Plan (ESOP) account through February 18, 2021. This Form 4 reports the open market sale by the reporting person of shares of common stock. /s/ Thomas A. James by Jonathan J. Doyle as Attorney-in-Fact 2021-02-22