0001225208-17-002092.txt : 20170131 0001225208-17-002092.hdr.sgml : 20170131 20170131084302 ACCESSION NUMBER: 0001225208-17-002092 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170130 FILED AS OF DATE: 20170131 DATE AS OF CHANGE: 20170131 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Elwyn Tashtego S CENTRAL INDEX KEY: 0001601145 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 17559477 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST PETERSBURG STATE: FL ZIP: 33716 4 1 doc4.xml X0306 4 2017-01-30 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001601145 Elwyn Tashtego S 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 President - RJA Common Stock 2017-01-30 4 M 0 791.0000 37.8700 A 16248.0000 D Common Stock 2017-01-30 4 S 0 791.0000 74.0301 D 15457.0000 D Common Stock 4005.0000 I ESOP Common Stock 50.0000 I UTMA Custodian for Daughter Common Stock 50.0000 I UTMA Custodian for Son Employee Stock Option (right to buy) 37.8700 2017-01-30 4 M 0 791.0000 0.0000 D 2019-11-29 Common Stock 791.0000 4418.0000 D Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through January 24, 2016. Of the 10,000 employee stock options granted on 11/29/2012, 60% vested on 11/29/2015, 20% on 11/29/2016, and 20% will vest on 11/29/2017. This Form 4 reports (i) the exercise of employee stock options and (ii) the open market sale of shares of common stock by the reporting person. /s/ Tashtego S. Elwyn by Jonathan J. Doyle as Attorney-in-Fact 2017-01-31