Sec Form 4 Filing - TROCIN JEFFREY E @ RAYMOND JAMES FINANCIAL INC - 2017-11-29

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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 *
TROCIN JEFFREY E
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)
Co-Pres-GlobEq&Inv Banking-RJA
(Last)
(First)
(Middle)
880 CARILLON PARKWAY
3. Date of Earliest Transaction (MM/DD/YY)
11/29/2017
(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 11/29/2017 A 6,770 ( 1 ) A $ 0 169,717 ( 2 ) D
Common Stock 5,587 ( 3 ) 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
Restricted Stock Units ( 4 ) 11/30/2017 A 5,000 ( 5 ) 11/30/2022 Common Stock 5,000 $ 0 5,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
TROCIN JEFFREY E
880 CARILLON PARKWAY
ST. PETERSBURG, FL33716
Co-Pres-GlobEq&Inv Banking-RJA
Signatures
/s/ Jeffrey E. Trocin by Jonathan J. Doyle as Attorney-in-Fact 12/01/2017
** Signature of Reporting Person Date
Explanation of Responses:
( 1 )Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2014.
( 2 )Includes 71 shares of common stock acquired on March 2, 2017, 79 shares of common stock acquired on June 2, 2017, and 73 shares of common stock acquired on September 5, 2017, pursuant to the registrant's Employee Stock Purchase Plan.
( 3 )Since the date of the reporting person's last Form 4 reflecting common stock holdings, the reporting person has disposed of 3,500 shares held in his ESOP account pursuant to a diversification election made under the Internal Revenue Code, and his ESOP account has received additional allocations under the ESOP through November 28, 2017.
( 4 )Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.
( 5 )RSUs vest 60% on 11/30/2020, 20% on 11/30/2021, and 20% on 11/30/2022.

Remarks:
This Form 4 reports (1) the acquisition by the reporting person of common stock resulting from the vesting of RSUs granted on 12/15/2014 based on the company's attaining certain levels of average after-tax return-on-equity over a three-year measurement period, and (2) a grant of Restricted Stock Units (RSUs) to the reporting person.

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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