SEC Form 4 · accession 0001225208-15-021246
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Matecki
Officer — Sr. VP - General Counsel
Period of report
Nov 20, 2015
Accepted (ET)
Nov 23, 2015 · 9:14 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 Stock | Nov 17, 2015 | G | 100 | $0.00 | D | 33,056 | D | |
| Common StockF1 | Nov 20, 2015 | M | 500 | $0.00 | A | 33,556 | D | |
| Common StockF2 | holding | — | — | — | 86 | 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 | — | Nov 20, 2015 | M | 500 | D | — | Nov 20, 2016 | Common Stock | 500 | 500 | D |
Explanation of responses
- F1Each Restricted Stock Unit (RSU) 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.
- F2Since the date of the reporting person's last Form 4 filing reflecting common stock holdings, the reporting person has disposed of 4,200 shares held in his ESOP account pursuant to a diversification election made under the Internal Revenue Code, and the reporting person's ESOP account has received additional allocations under the ESOP through November 17, 2015.
- F3On November 20, 2014, the reporting person received a grant of 1,000 RSUs. RSUs vest 50% on 11/20/2015 and 50% on 11/20/2016.
Remarks
This Form 4 reports (1) a gift of shares by the reporting person and (2) the vesting of a portion of the RSUs awarded to the reporting person on 11/20/2014.