SEC Form 4 · accession 0001225208-15-022540
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tashtego S Elwyn
Officer — President - RJA
Period of report
Dec 15, 2015
Accepted (ET)
Dec 17, 2015 · 11:22 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 | Dec 16, 2015 | G | 100 | $0.00 | D | 2,986 | D | |
| Common StockF1 | holding | — | — | — | 3,812 | 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 UnitsF3,F2 | — | Dec 15, 2015 | A | 1,723 | A | Dec 15, 2018 | Dec 15, 2018 | Common Stock | 1,723 | 1,723 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 11, 2015.
- F2Each 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.
- F3Award of RSUs as a portion of annual bonus under 2012 Stock Incentive Plan.
Remarks
This Form 4 reports (1) the gift of shares by the reporting person and (2) the grant of RSUs under the issuer's 2012 Stock Incentive Plan as a portion of the annual bonus to the reporting person.