Sec Form 4 Filing - JAMES THOMAS A @ RAYMOND JAMES FINANCIAL INC - 2017-11-27

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
JAMES THOMAS A
2. Issuer Name and Ticker or Trading Symbol
RAYMOND JAMES FINANCIAL INC [ RJF]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director X __ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chairman Emeritus
(Last) (First) (Middle)
880 CARILLON PARKWAY
3. Date of Earliest Transaction (MM/DD/YY)
11/27/2017
(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 11/27/2017 S( 1 ) 47,290 D $ 85.4232 ( 2 ) 12,258,746 I By Thomas A. James Family Rev Trust
Common Stock 11/28/2017 S( 1 ) 72,388 D $ 86.5932 ( 3 ) 12,186,358 I By Thomas A. James Family Rev Trust
Common Stock 11/28/2017 S( 1 ) 80,322 D $ 85.7486 ( 4 ) 12,106,036 I By Thomas A. James Family Rev Trust
Common Stock 33,750 I By James Ventures, Inc.
Common Stock 662,754 ( 5 ) I By Robert A. James Trust
Common Stock 1,000,000 I By TA James Ventures Partnership
Common Stock 258 ( 6 ) I ESOP
Common Stock 48,087 I Spouse
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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
JAMES THOMAS A
880 CARILLON PARKWAY
ST. PETERSBURG, FL33716
X X Chairman Emeritus
Signatures
/s/ Thomas A. James by Jonathan J. Doyle as Attorney-in-Fact 11/29/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
( 2 )Reflects the weighted average sale price. The range of prices for such transaction was $85.35 to $85.50.
( 3 )Reflects the weighted average sale price. The range of prices for such transaction was $86.35 to $86.91.
( 4 )Reflects the weighted average sale price. The range of prices for such transaction was $85.35 to $86.34.
( 5 )The reporting person is the trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
( 6 )Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 27, 2017.

Remarks:
This Form 4 reports the open market sale by the reporting person of shares of common stock.

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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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