Form Type: 4

SEC EDGAR Link
Accession Number:0001225208-20-013393
Date:2020-11-09
Issuer: RAYMOND JAMES FINANCIAL INC (RJF)
Original Submission Date:

Reporting Person:

JAMES THOMAS A
880 CARILLON PARKWAY
ST. PETERSBURG, FL 33716

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-11-09 S 47,448 d $86.74 12,022,284 indirect
COMMON STOCK 2020-11-10 S 52,552 d $85.92 11,969,732 indirect
COMMON STOCK 0 $0.00 900 indirect
COMMON STOCK 0 $0.00 33,750 indirect
COMMON STOCK 0 $0.00 662,754 indirect
COMMON STOCK 0 $0.00 1,000,000 indirect
COMMON STOCK 0 $0.00 416 indirect
COMMON STOCK 0 $0.00 108,087 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 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.
f2 reflects the weighted average sale price. the range of prices for such transaction was $86.25 to $87.06.
f3 reflects the weighted average sale price. the range of prices for such transaction was $85.75 to $86.26.
f4 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.
f5 includes shares of common stock held in the reporting person's employee stock ownership plan (esop) account through november 9, 2020.

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