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Raymond James Wealth Management Ltd — Director's Dealing 2017
Dec 1, 2017
10792_dirs_2017-12-01_79334560-f5b9-4619-83e3-5b5fa72959a9.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: RAYMOND JAMES FINANCIAL INC (RJF)
CIK: 0000720005
Period of Report: 2017-11-29
Reporting Person: TROCIN JEFFREY E (Co-Pres-GlobEq&Inv Banking-RJA)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-11-29 | Common Stock | A | 6770.0000 | $0.0000 | Acquired | 169717.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-11-30 | Restricted Stock Units | $ | A | 5000.0000 | Acquired | 2022-11-30 | Common Stock (5000.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5587.0000 | Indirect |
Footnotes
F1: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2014.
F2: 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.
F3: 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.
F4: 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.
F5: RSUs vest 60% on 11/30/2020, 20% on 11/30/2021, and 20% on 11/30/2022.