SEC Form 4 · accession 0001225208-16-042194
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey E Trocin
Officer — Executive Vice President - RJF
Period of report
Nov 21, 2016
Accepted (ET)
Nov 23, 2016 · 3:42 pm 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 | Nov 15, 2016 | G | 150 | $0.00 | D | 152,015 | D | |
| Common StockF2,F3 | Nov 21, 2016 | A | 4,307 | $0.00 | A | 156,322 | D | |
| Common StockF4 | holding | — | — | — | 12,949 | I | ESOP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 128 shares of common stock acquired on March 2, 2016, 103 shares of common stock acquired on June 2, 2016, and 99 shares of common stock acquired on September 2, 2016, pursuant to the registrant's Employee Stock Purchase Plan.
- F2Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/13/2013.
- F3Reflects a reduction in shares previously attributable to the reporting person due to holdings by adult children now independent of the reporting person.
- F4Since the date of the reporting person's last Form 4 reflecting common stock holdings, the reporting person has disposed of 3,000 shares held in his ESOP account pursuant to a diversification election made under the Internal Revenue Code, and his ESOP account has received additional allocations under the ESOP through November 21, 2016.
Remarks
trocinjeffreypoa.txt This Form 4 reports (1) a gift of shares by the reporting person and (2) the acquisition by the reporting person of common stock resulting from the vesting of RSUs granted on 12/13/2013 based on the company's attaining certain levels of average after-tax return-on-equity over a three-year measurement period.