SEC Form 4 · accession 0001225208-15-021172
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey E Trocin
Officer — Executive Vice President - RJF
Period of report
Nov 18, 2015
Accepted (ET)
Nov 20, 2015 · 1:59 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,F2 | Nov 18, 2015 | A | 2,135 | $0.00 | A | 136,691 | D | |
| Common Stock | holding | — | — | — | 2,215 | I | By daughters | |
| Common StockF3 | holding | — | — | — | 15,600 | 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 UnitsF4,F5 | — | 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 12/14/2012.
- F2Includes 112 shares of common stock acquired on 9/2/2015 pursuant to the registrant's Employee Stock Purchase Plan.
- F3Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 17, 2015.
- F4Each 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.
- F5RSUs 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 12/14/2012 based on the company's attaining certain levels of average after-tax return-on-equity over a three-year measurement period.