SEC Form 4 · accession 0001225208-15-010256
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Carson Jr.
Officer — President
Period of report
Apr 20, 2015
Accepted (ET)
Apr 22, 2015 · 10:22 am EDT
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 | Apr 20, 2015 | M | 99,686 | $0.00 | A | 99,686 | D | |
| Common Stock | Apr 20, 2015 | F | 39,257 | $56.59 | D | 60,429 | D | |
| Common StockF2 | holding | — | — | — | 208 | I | ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3 | — | Apr 20, 2015 | M | 99,686 | D | Apr 20, 2015 | Apr 20, 2015 | Common Stock | 99,686 | 0 | D |
Explanation of responses
- F1Settlement of restricted stock units on the basis of one share of RJF common stock for one restricted stock unit.
- F2Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through April 20, 2015.
- F3Each restricted stock unit represents a contingent right to receive, upon vesting of the award: (i) one share of RJF common stock, and (ii) accrued cash in lieu of dividends.
Remarks
This Form 4 reports the vesting of restricted stock units (RSUs) awarded to the reporting person on 4/20/2012 and a disposition by the reporting person to the issuer to cover tax liability in connection with such vesting.