SEC Form 4 · accession 0001225208-16-027393
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gordon L Johnson
Director
Period of report
Feb 19, 2016
Accepted (ET)
Feb 23, 2016 · 9:06 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 | Feb 21, 2016 | M | 2,208 | $0.00 | A | 6,058 | D | |
| Common StockF1 | Feb 22, 2016 | M | 1,200 | $0.00 | A | 7,258 | D |
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,F2 | — | Feb 19, 2016 | A | 2,849 | A | — | — | Common Stock | 2,849 | 2,849 | D |
| Restricted Stock UnitsF1,F3 | — | Feb 19, 2016 | A | 300 | A | — | Feb 19, 2021 | Common Stock | 300 | 300 | D |
| Restricted Stock UnitsF1 | — | Feb 21, 2016 | M | 2,208 | D | Feb 21, 2016 | Feb 21, 2016 | Common Stock | 2,208 | 0 | D |
| Restricted Stock UnitsF1,F4 | — | Feb 22, 2016 | M | 1,200 | D | — | Feb 22, 2018 | Common Stock | 1,200 | 800 | 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.
- F2The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2017.
- F3Of the 300 RSUs granted, 60% vest on 2/19/2019, 20% on 2/19/2020 and 20% on 2/19/2021.
- F4Of the 2,000 RSUs granted on 2/22/2013, 60% vested on 2/22/2016, 20% will vest on 2/22/2017 and 20% on 2/22/2018.
Remarks
This Form 4 reports (i) the vesting of a portion of RSUs awarded to the reporting person on 2/22/2013, (ii) the vesting of RSUs awarded to the reporting person on 2/21/2015, and (iii) the acquisition by the reporting person of RSUs resulting from (a) a grant to non-executive directors of Raymond James Bank, a subsidiary of registrant, and (b) an annual grant to the registrant's non-executive directors.