| |
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
|
|
|
| FORM 5 |
|
|
|
OMB APPROVAL |
|
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). Form 3 Holdings Reported Form 4 Transactions Reported
|
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |
|
OMB Number:
3235-0362 Expires:
September 30, 1998 Estimated average
burden hours per response
1.0 |
| (Print or Type Responses) |
|
Filed prusuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1934 or Section 30(f) of the Investment Company Act of 1940 |
|
|
| 1. Name and Address of Reporting Person* |
2. Issuer Name and Ticker or Trading Symbol |
6. Relationship of Reporting Person(s) to Issuer |
| |
|
|
|
|
|
|
|
|
(Check all applicable) |
| James |
Thomas |
|
A |
Raymond James Financial (RJF) |
X Director |
|
___X___ 10% Owner |
| (Last) |
(First) |
|
(Middle) |
3. IRS or Social Security |
|
4. Statement for |
|
|
X Officer (give |
|
______ Other (specify |
| |
|
|
|
Number of Reporting |
|
Month/Year |
|
|
title below) |
|
below) |
| 880 Carillon Parkway |
|
|
|
Person (Voluntary) |
|
Sept. 2002 |
|
|
Chairman, CEO |
| |
(Street) |
|
|
|
|
5. If Amendment |
|
|
7. Individual orJoint/Group Filing (Check Applicable Line) |
| |
|
|
|
|
Date of Original |
|
|
X Form filed by One Reporting Person
|
| St. Petersburg |
FL |
|
33716 |
|
|
(Month/Year) |
|
|
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 |
|
|
|
2. Trans- |
3. Trans- |
4. Securities Acquired (A) |
5. Amount of |
6. Owner- |
7. Nature of |
| (Instr. 3) |
|
|
|
action |
action |
or Disposed of (D) |
Securities |
ship |
Indirect |
| |
|
|
|
Date |
Code |
(Instr. 3, 4 and 5) |
Beneficially |
Form: |
Beneficial |
| |
|
|
|
|
(Instr. 8) |
|
|
|
Owned at |
Direct |
Owner- |
| |
|
|
|
(Month/ |
|
|
|
|
End of Month |
(D) or |
ship |
| |
|
|
|
Day/ |
|
|
|
|
|
Indirect |
|
| |
|
|
|
Year) |
|
|
(A) or |
|
(Instr. 3 and 4) |
(I) |
|
| Raymond James Financial, Inc. (RJF) |
|
|
|
|
Amount |
(D) |
Price |
|
(Instr. 4) |
(Instr. 4) |
| RJF Common Stock |
|
|
|
|
|
|
|
|
6,081,131 |
D |
Thomas A. James TTEE 12/20/76 Thomas A. James |
| RJF Common Stock |
|
|
|
|
|
|
|
|
466,659 |
I |
Employee Stock Ownership Plan & Trust |
| RJF Common Stock |
|
|
|
|
|
|
|
|
21,372 |
I |
Mary S. James (wife) |
| RJF Common Stock |
|
|
|
|
|
|
|
|
323,508 |
I |
Robert A. James & Helen W. James Annuity Trust |
| RJF Common Stock |
|
|
|
|
|
|
|
|
152,909 |
I |
James Grandchildren Trust |
| RJF Common Stock |
|
|
|
|
|
|
|
|
3,362,680 |
I |
Robert A. James Trust |
| RJF Common Stock |
|
|
|
|
|
|
|
|
19,613 |
I |
Thomas A. James TTEE 12/20/76 Thomas A. James |
| NO UNREPORTED ACTIVITY |
|
|
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
| * If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
|
|
|
|
|
|
(Over) |
| |
|
|
|
|
|
|
|
|
|
|
SEC 2270 (9-96) |
| FORM 5 (continued) |
|
|
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
|
|
|
| 1. Title of Derivative Security |
|
|
2. Conver- |
3. Trans- |
4. Trans- |
|
5. Number or Deriv- |
|
6. Date Exer- |
|
7. Title and Amount of |
|
8. Price |
9. Number |
10.Owner- |
11.Nature |
| (Instr. 3) |
|
|
sion or |
action |
action |
|
ative Securities Ac- |
|
cisable and |
|
Underlying Securities |
|
of |
of deriv- |
ship |
of |
| |
|
|
Exercise |
Date |
Code |
|
quired (A) or Dis- |
|
Expiration |
|
(Instr. 3 and 4) |
|
deriv- |
ative |
Form of |
Indirect |
| |
|
|
Price of |
|
(Instr. 8) |
|
posed of (D) |
|
Date |
|
|
|
Secur- |
Secur- |
Security: |
Benefi- |
| |
|
|
Deri- |
(Month/ |
|
|
(Instr. 3, 4, and 5) |
|
(Month/Day/ |
|
|
|
ity |
ities |
Direct |
cial |
| |
|
|
vative |
Day/ |
|
|
|
|
Year) |
|
|
|
(Instr. |
Bene- |
(D) or |
Owner- |
| |
|
|
Security |
Year) |
|
|
|
|
|
|
|
|
5) |
ficially |
Indirect |
ship |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
Owned |
(I) |
(Instr. 4) |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
at End |
Instr. 4) |
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
of deriv- |
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
Month |
|
|
| |
|
|
|
|
|
|
|
|
Date |
Expira- |
|
Amount or |
|
(Instr. 4) |
|
|
| |
|
|
|
|
|
|
|
|
Exer- |
tion |
Title |
Number of |
|
|
|
|
| |
|
|
|
|
|
|
|
|
cisible |
Date |
|
Shares |
|
|
|
|
| |
|
|
|
|
|
|
(A) |
(D) |
|
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Explanation of Responses: |
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| **Intentional misstatements or omissions of facts constitute Federal Criminal Violations, |
/S/ THOMAS A. JAMES |
October 4, 2002 |
| See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
**Signature of Reporting Person |
Date |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient. |
|
|
|
|
|
|
| see Instructions 6 for procedure. |
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| Potential persons who are to respond to the collection of information contained in this form are not |
|
|
|
|
|
|
| required to respond unless the form displays a currently valid OMB Number. |
|
|
|
|
|
|
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Page 2 |
| |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
SEC 2270 (9-96) |