Sec Form 4 Filing - REILLY PAUL C @ RAYMOND JAMES FINANCIAL INC - 2018-10-25

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
REILLY PAUL 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)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Executive Officer
(Last) (First) (Middle)
880 CARILLON PARKWAY
3. Date of Earliest Transaction (MM/DD/YY)
10/25/2018
(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 10/25/2018 M 9,890 A $ 48.2 108,140 D
Common Stock 10/25/2018 M 7,500 A $ 55.49 115,640 D
Common Stock 10/25/2018 M 2,500 A $ 37.87 118,140 D
Common Stock 10/25/2018 F 15,749 D $ 75.56 102,391 D
Common Stock 905 ( 1 ) 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) $ 55.49 10/25/2018 M 7,500 ( 2 ) 11/20/2021 Common Stock 7,500 $ 0 5,000 D
Employee Stock Option (right to buy) $ 48.2 10/25/2018 M 9,890 ( 3 ) 11/21/2020 Common Stock 9,890 $ 0 2,500 D
Employee Stock Option (right to buy) $ 37.87 10/25/2018 M 2,500 ( 4 ) 11/29/2019 Common Stock 2,500 $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
REILLY PAUL C
880 CARILLON PARKWAY
ST. PETERSBURG, FL33716
X Chief Executive Officer
Signatures
/s/ Paul C. Reilly by Jonathan J. Doyle as Attorney-in-Fact 10/29/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through October 25, 2018.
( 2 )On November 20, 2014, the reporting person received a grant of 12,500 stock options. Stock options vested 60% on 11/21/2017, and will vest 20% on 11/21/2018, and 20% on 11/21/2019.
( 3 )The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and will vest 20% on 11/21/2018.
( 4 )The stock option vested 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.

Remarks:
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.

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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