SEC Form 4 · accession 0001225208-15-021176
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey A Dowdle
Officer — Executive Vice President-AMG
Period of report
Nov 18, 2015
Accepted (ET)
Nov 20, 2015 · 2:17 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 | Nov 18, 2015 | A | 2,269 | $0.00 | A | 33,235 | D | |
| Common StockF2 | holding | — | — | — | 1,500 | I | by Son JA | |
| Common StockF3 | holding | — | — | — | 7,513 | I | ESOP | |
| Common StockF4 | holding | — | — | — | 900 | I | John R. Dowdle Exempt Marital Trust | |
| Common StockF4 | holding | — | — | — | 10,000 | I | Mary R. Dowdle Trust | |
| Common StockF2 | holding | — | — | — | 1,500 | I | UTMA Custodian for Daughter EC | |
| Common StockF2 | holding | — | — | — | 1,500 | I | UTMA Custodian for Son GT |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF5,F6 | — | 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.
- F2The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F3Includes shares of common stock acquired under the reporting person's Employee Stock Ownership (ESOP) account through November 17, 2015.
- F4The reporting person is the trustee of the trust and holds a remainder interest therein. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
- F5Each 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.
- F6RSUs 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.