| FORM 4 | 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 | | OMB APPROVAL | | OMB Number: | 3235-0287 | | Expires: | February 28, 2011 | | Estimated average burden | | hours per response | 0.5 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 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) | | Executive Vice President - Fin |
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3. Date of Earliest Transaction (Month/Day/Year) 09/16/2009 |
4. If Amendment, Date of Original Filed (Month/Day/Year)
| 6. Individual or Joint/Group Filing (Check Applicable Line)| X | Form filed by One Reporting Person | | Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1.Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 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 |
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Common Stock
| 09/16/2009 | | S | |
20,000
| D | $
22.8258
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42,220
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D
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Common Stock
| | | | | | | |
27,393
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I
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ESOP
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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 (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) | 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 |
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Employee Stock Option (right to buy)
| $
24.9733
| | | | | | | 12/01/2008 | 02/01/2012 |
Common Stock
|
15,000
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15,000
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D
| |
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Employee Stock Option (right to buy)
| $
30.44
| | | | | | | 11/27/2010 | 01/27/2014 |
Common Stock
|
15,000
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15,000
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D
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| Explanation of Responses: |
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Remarks:
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| /s/ Jeffrey P. Julien by Paul L. Matecki as Attorney-in-Fact | 09/17/2009 |
| ** Signature of Reporting Person | Date |
| 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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| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
POWER OF ATTORNEY
OF
JEFFREY P. JULIEN
Know all by these presents, that the undersigned hereby constitutes and
appoints each of Paul L. Matecki and Kenneth E. Armstrong, signing singly, the
undersigned's true and lawful attorney-in-fact to:
1) Prepare, execute in the undersigned's name and on the undersigned's behalf,
and submit to the U.S. Securities and Exchange Commission (the "SEC") a Form ID,
including amendments thereto, and any other documents necessary or appropriate
to obtain codes and passwords enabling the undersigned to make electronic
filings with the SEC of reports required by Section 16(a) of the Securities
Exchange Act of 1934 or any rule or regulation of the SEC;
2) Execute for and on behalf of the undersigned, in the undersigned's capacity
as an officer and/or director of Raymond James Financial, Inc. (the "Company"),
Forms 3, 4, and 5 in accordance with Section 16 (a) of the Securities Exchange
Act of 1934 and the rules thereunder, and any other forms or reports the
undersigned may be required to file in connection with the undersigned's
ownership, acquisition or disposition of securities of the Company;
3) Do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any such Form 3, 4, and 5,
or other form or report, and timely file such form or report with the SEC and
the New York Stock Exchange or similar authority; and
4) Take any other action of any type whatsoever in connection with the foregoing
which, in the opinion of such attorney-in-fact, may be of benefit to, in the
best interest of, or legally required by, the undersigned, it being understood
that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted.
The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming,
nor is the Company assuming, any of the undersigned's responsibilities to comply
with Section 16 of the Securities Exchange Act of 1934 and the rules and
regulations thereunder (the "Law"). The undersigned further acknowledges that
it is his/her responsibility to provide information to the attorneys-in-fact on
a timely basis with respect to any proposed transaction that could require the
filing of any Form 4 or 5, and to respond in a timely manner to all
communications, notices and inquiries from the attorneys-in-fact or the Company
or its representatives with respect to any proposed transaction. The
undersigned further acknowledges that failure to provide information on a timely
basis or to respond in a timely manner to such notices, communications and
inquiries could result in the failure to make timely filing of these documents
as required by the Law, which could result in violations of the Law by the
undersigned, as well as public disclosure of delinquent filings by the
undersigned. The undersigned further acknowledges that the responsibility for
timely filing continues to be that of the undersigned and, in that regard,
releases the attorneys-in-fact and the Company from any liability with respect
to any action taken or omitted in good faith by them in connection with such
filings.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed this 12th day of March, 2009.
/s/ Jeffrey P. Julien
____________________________________
JEFFREY P. JULIEN
Signed before me this 12th day of March, 2009.
/s/ Kelley Cole
______________________________
Notary Public
(Seal)