SEC Form 4 · accession 0001225208-15-017633
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bella Loykhter Allaire
Officer — Executive Vice President-RJA
Period of report
Aug 25, 2015
Accepted (ET)
Aug 27, 2015 · 2:02 pm 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 | Aug 25, 2015 | M | 5,000 | $0.00 | A | 16,015 | D | |
| Common Stock | Aug 25, 2015 | F | 1,361 | $50.10 | D | 14,654 | D | |
| Common StockF2 | holding | — | — | — | 189 | 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 UnitsF1,F3 | — | Aug 25, 2015 | M | 5,000 | D | — | Aug 25, 2016 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Each restricted stock unit (RSU) 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.
- F2Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through August 25, 2015.
- F3On August 25, 2011, the reporting person received a grant of 25,000 RSUs. The RSUs vest 60% on the third anniversary of the grant, 20% on the fourth anniversary of the grant and 20% on the fifth anniversary of the grant.
Remarks
This Form 4 reports the vesting of a portion of the RSUs awarded to the reporting person on 8/25/2011 and a disposition of common stock by the reporting person to the issuer to cover tax liability in connection with such vesting.