SEC Form 4 · accession 0001225208-15-005616
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hardwick Simmons
Director
Period of report
Feb 21, 2015
Accepted (ET)
Feb 25, 2015 · 12:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000720005
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 24, 2015 | M | 1,200 | $0.00 | A | 50,306 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2 | — | Feb 21, 2015 | A | 2,208 | A | Feb 21, 2016 | Feb 21, 2016 | Common Stock | 2,208 | 2,208 | D |
| Restricted Stock UnitsF2,F3 | — | Feb 24, 2015 | M | 1,200 | D | — | Feb 24, 2017 | Common Stock | 1,200 | 800 | D |
Explanation of responses
- F1Settlement of restricted stock units on the basis of one share of RJF common stock for one restricted stock unit.
- F2Each restricted stock unit 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.
- F3On February 24, 2012, the reporting person received a grant of 2,000 restricted stock units. Such restricted stock units vest 60% on 2/24/2015, 20% on 2/24/2016 and 20% on 2/24/2017.
Remarks
This Form 4 reports (i) the vesting of a portion of restricted stock units (RSUs) awarded to the reporting person on 2/24/2012, and (ii) the acquisition by the reporting person of RSUs resulting from an annual grant to the registrant's non-executive directors. Note: In accordance with SEC rules, commencing with this filing, the reporting person will reflect in a Form 4 only transactions in issuer securities and will no longer provide comprehensive information on holdings unrelated to the class of securities for which a reportable transaction has occurred.