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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
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| FORM 4 |
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OMB APPROVAL |
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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).
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STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |
OMB Number:
3235-0287 Expires:
January 31, 2005 Estimated average
burden hours per response
0.5 |
| (Print or Type Responses) |
Filed pursuant 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 |
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| 1. Name and Address of Reporting Person* |
2. Issuer Name and Ticker or Trading Symbol |
6. Relationship of Reporting Person(s) to Issuer |
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(Check all applicable) |
| Augenbraun |
Barry |
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Raymond James Financial (RJF) |
_______ Director |
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______ 10% Owner |
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(First) |
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(Middle) |
3. IRS or Social Security |
4. Statement for |
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X Officer (give |
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______ Other (specify |
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Number of Reporting |
Month/Day/Year |
title below) |
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below) |
| 880 Carillon Parkway |
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Person (Voluntary) |
December 6, 2002 |
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Senior Vice President and Corporate Secretary |
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(Street) |
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5. If Amendment |
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7. Individual or Joint/Group Filing (Check Applicable Line) |
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Date of Original |
X Form filed by One Reporting Person
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| St. Petersburg |
FL |
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33716 |
(Month/Day/Year) |
Form filed by More than One Reporting Person
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(State) |
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(ZIP) |
Table I - Non Derivative Securities Acquired, Disposed of , or beneficially Owned
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| 1. Title of Security |
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2. Trans- |
2A. Deemed |
3. Trans- |
4. Securities Acquired (A) |
5. Amount of |
6. Owner- |
| (Instr. 3) |
action |
Execution |
action |
or Disposed of (D) |
Securities |
ship |
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Date |
Date, if any |
Code |
(Instr. 3, 4 and 5) |
Beneficially |
Form: |
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(Month/Day/Year |
(Instr. 8) |
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Owned at |
Direct |
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Following |
(D) or |
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Reported |
Indirect |
| Year) |
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Code V |
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(A) or |
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Transactions |
(I) |
| Raymond James Financial, Inc. (RJF) |
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Amount |
(D) |
Price |
(Instr. 3 and 4) |
(Instr. 4) |
| RJF Common Stock |
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12/6/02 |
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M |
900 |
A |
$ 22.1667 |
2,977 |
D |
| RJF Common Stock |
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373 |
I |
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| J1 Dividend reinvest |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
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(Over) |
| * If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
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SEC 1474 (7-96) |
| FORM 4 (continued) |
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
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| 1. Title of Derivative Security |
2. Conver- |
3. Trans- |
3.A Deemed |
4. Trans- |
5. Number or Deriv- |
6. Date Exer- |
7. Title and Amount of |
8. Price |
9. Number |
10.Owner- |
| (Instr. 3) |
sion or |
action |
Execution Date, |
action |
ative Securities Ac- |
cisable and |
Underlying Securities |
of |
of deriv- |
ship |
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Exercise |
Date |
if any |
Code |
quired (A) or Dis- |
Expiration |
(Instr. 3 and 4) |
deriv- |
ative |
Form of |
| Price of |
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(Month/Day/Year |
(Instr. 8) |
posed of (D) |
Date |
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Secur- |
Secur- |
Security: |
| Deri- |
(Month/ |
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(Instr. 3, 4, and 5) |
(Month/Day/ |
ity |
ities |
Direct |
| vative |
Day/ |
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Year) |
(Instr. |
Bene- |
(D) or |
| Security |
Year) |
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5) |
ficially |
Indirect |
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Owned |
(I) |
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at End |
Instr. 4) |
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of deriv- |
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Title |
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Month |
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Date |
Expira- |
Amount or |
(Instr. 4) |
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Code |
V |
(A) |
(D) |
Exer- |
tion |
Number of |
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cisible |
Date |
Shares |
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| Employee Stock Option (Right to buy) |
$ 22.1667 |
12/6/2002 |
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M |
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900 |
11/08/02-11/18/04 |
1/18/2005 |
Common Stock |
3,000 |
20.6250 |
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| Employee Stock Option (Right to buy) |
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11/28/04-11/28/06 |
1/28/2007 |
Common Stock |
4,000 |
32.0000 |
7,000 |
D |
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| Explanation of Responses: |
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| **Intentional misstatements or omissions of facts constitute Federal Criminal Violations, |
/S/ BARRY S. AUGENBRAUN |
12/6/2002 |
| See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
**Signature of Reporting Person |
Date |
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| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient. |
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| see Instructions 6 for procedure. |
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| Potential persons who are to respond to the collection of information contained in this form are not |
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| required to respond unless the form displays a currently valid OMB Number. |
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Page 2 |
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SEC 1474 (7-96) |