0001225208-18-014948.txt : 20181030 0001225208-18-014948.hdr.sgml : 20181030 20181030144815 ACCESSION NUMBER: 0001225208-18-014948 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181026 FILED AS OF DATE: 20181030 DATE AS OF CHANGE: 20181030 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Curtis Scott A CENTRAL INDEX KEY: 0001601143 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 181146632 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 2018-10-26 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001601143 Curtis Scott A 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 President - RJFS Common Stock 2018-10-26 4 M 0 4000.0000 37.8700 A 65329.0000 D Common Stock 2018-10-26 4 F 0 468.0000 73.0000 D 64861.0000 D Common Stock 2221.0000 I ESOP Employee Stock Option (right to buy) 37.8700 2018-10-26 4 M 0 4000.0000 0.0000 D 2019-11-29 Common Stock 4000.0000 1582.0000 D Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through October 26, 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/ Scott A. Curtis by Jonathan J. Doyle as Attorney-in-Fact 2018-10-30