0001225208-18-015921.txt : 20181128 0001225208-18-015921.hdr.sgml : 20181128 20181128092928 ACCESSION NUMBER: 0001225208-18-015921 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181126 FILED AS OF DATE: 20181128 DATE AS OF CHANGE: 20181128 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: 181204310 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 2018-11-26 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001240439 REILLY PAUL C 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 1 Chief Executive Officer Common Stock 2018-11-26 4 M 0 2500.0000 55.4900 A 109743.0000 D Common Stock 2018-11-26 4 M 0 2500.0000 48.2000 A 112243.0000 D Common Stock 2018-11-26 4 F 0 3632.0000 79.1600 D 108611.0000 D Common Stock 905.0000 I ESOP Employee Stock Option (right to buy) 55.4900 2018-11-26 4 M 0 2500.0000 0.0000 D 2021-11-20 Common Stock 2500.0000 2500.0000 D Employee Stock Option (right to buy) 48.2000 2018-11-26 4 M 0 2500.0000 0.0000 D 2020-11-21 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 November 18, 2018. The stock option vested 60% on 11/20/2017, 20% on 11/20/2018, and will vest 20% on 11/20/2019. The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018. This Form 4 reports (i) the exercise of employee stock options by the reporting person and (ii) a disposition by the reporting person to the issuer to cover the exercise price and tax liability in connection with such exercise. /s/ Paul C. Reilly by Jonathan J. Doyle as Attorney-in-Fact 2018-11-28