SEC Form 4 · accession 0001225208-16-027397
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Benjamin Esty
Director
Period of report
Feb 19, 2016
Accepted (ET)
Feb 23, 2016 · 9:41 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 | 3,508 | 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 | — | Feb 21, 2016 | M | 2,208 | D | Feb 21, 2016 | Feb 21, 2016 | Common Stock | 2,208 | 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.
- F2The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2017.
Remarks
This Form 4 reports (i) the vesting of RSUs awarded to the reporting person on 2/21/2015, and (ii) the acquisition by the reporting person of RSUs resulting from an annual grant to the registrant's non-executive directors.