SEC Form 4 · accession 0001225208-15-021883
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul D Allison
Officer — Chair, President & CEO RJ Ltd.
Period of report
Dec 7, 2015
Accepted (ET)
Dec 8, 2015 · 10:54 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 | Dec 7, 2015 | M | 2,179 | $0.00 | A | 22,030 | 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 UnitsF1 | — | Dec 7, 2015 | M | 2,179 | D | Dec 7, 2015 | Dec 7, 2015 | Common Stock | 2,179 | 0 | 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.
- 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.
Remarks
This Form 4 reports the vesting of RSUs awarded to the reporting person on 12/07/2012.