0001225208-18-014926.txt : 20181029 0001225208-18-014926.hdr.sgml : 20181029 20181029164946 ACCESSION NUMBER: 0001225208-18-014926 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181025 FILED AS OF DATE: 20181029 DATE AS OF CHANGE: 20181029 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: REILLY PAUL C CENTRAL INDEX KEY: 0001240439 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 181144721 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 2018-10-25 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001240439 REILLY PAUL C 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 1 Chief Executive Officer Common Stock 2018-10-25 4 M 0 9890.0000 48.2000 A 108140.0000 D Common Stock 2018-10-25 4 M 0 7500.0000 55.4900 A 115640.0000 D Common Stock 2018-10-25 4 M 0 2500.0000 37.8700 A 118140.0000 D Common Stock 2018-10-25 4 F 0 15749.0000 75.5600 D 102391.0000 D Common Stock 905.0000 I ESOP Employee Stock Option (right to buy) 55.4900 2018-10-25 4 M 0 7500.0000 0.0000 D 2021-11-20 Common Stock 7500.0000 5000.0000 D Employee Stock Option (right to buy) 48.2000 2018-10-25 4 M 0 9890.0000 0.0000 D 2020-11-21 Common Stock 9890.0000 2500.0000 D Employee Stock Option (right to buy) 37.8700 2018-10-25 4 M 0 2500.0000 0.0000 D 2019-11-29 Common Stock 2500.0000 0.0000 D Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through October 25, 2018. On November 20, 2014, the reporting person received a grant of 12,500 stock options. Stock options vested 60% on 11/21/2017, and will vest 20% on 11/21/2018, and 20% on 11/21/2019. The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and will vest 20% on 11/21/2018. The stock option vested 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017. This Form 4 reports (1) the exercise of employee stock options by the reporting person, and (2) a disposition by the reporting person to the issuer to cover tax liability in connection with such exercise. /s/ Paul C. Reilly by Jonathan J. Doyle as Attorney-in-Fact 2018-10-29