SEC Form 4 · accession 0001225208-15-021144
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Paul D Allison
Officer — Chair, President & CEO RJ Ltd.
Period of report
Nov 18, 2015
Accepted (ET)
Nov 20, 2015 · 11:48 am 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 | Nov 18, 2015 | A | 2,179 | $0.00 | A | 19,851 | D | |
| Common StockF2 | holding | — | — | — | 9,628 | I | Rose Allison Holdings Inc. |
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,F4 | — | Nov 18, 2015 | A | 5,000 | A | — | Nov 18, 2020 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/7/2012.
- F2A corporation that is wholly owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F3Each 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.
- F4RSUs vest 60% on 11/18/2018, 20% on 11/18/2019, and 20% on 11/18/2020.
Remarks
This Form 4 reports (1) a grant of Restricted Stock Units (RSUs) to the reporting person and (2) the acquisition by the reporting person of common stock resulting from the vesting of RSUs granted on 12/07/2012 based on the company's attaining certain levels of average after-tax return-on-equity over a three-year measurement period.