Sec Form 4 Filing - ACKART JENNIFER C @ RAYMOND JAMES FINANCIAL INC - 2013-11-29

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
ACKART JENNIFER C
2. Issuer Name and Ticker or Trading Symbol
RAYMOND JAMES FINANCIAL INC [ RJF]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
SVP, Controller
(Last) (First) (Middle)
880 CARILLON PARKWAY
3. Date of Earliest Transaction (MM/DD/YY)
11/29/2013
(Street)
ST. PETERSBURG, FL33716
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/29/2013 S 3,000 D $ 48.231 ( 1 ) 20,278 D
Common Stock 3,529 ( 2 ) I ESOP
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy) $ 27.1 ( 3 ) 01/22/2017 Common Stock 7,000 7,000 D
Employee Stock Option (right to buy) $ 25.28 ( 4 ) 01/24/2015 Common Stock 5,500 5,500 D
Employee Stock Option (right to buy) $ 48.2 ( 5 ) 11/21/2020 Common Stock 4,000 4,000 D
Employee Stock Option (right to buy) $ 37.87 ( 6 ) 11/29/2019 Common Stock 4,000 4,000 D
Restricted Stock Units ( 7 ) 12/14/2015 12/14/2015 Common Stock 207 207 D
Restricted Stock Units ( 7 ) 12/15/2014 12/15/2014 Common Stock 114 114 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
ACKART JENNIFER C
880 CARILLON PARKWAY
ST. PETERSBURG, FL33716
SVP, Controller
Signatures
/s/ Jennifer C. Ackart by Paul L. Matecki as Attorney-in-Fact 12/03/2013
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.2300 to $48.2350, inclusive. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price.
( 2 )Includes number of shares acquired under ESOP through November 29, 2013.
( 3 )The stock option vests 60% on 11/22/2014, 20% on 11/22/2015 and 20% on 11/22/2016.
( 4 )Options currently exercisable - 4,400; options becoming exercisable - 1,100 on 11/24/2014.
( 5 )The stock option vests 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018.
( 6 )The stock option vests 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.
( 7 )Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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