SEC Form 4 · accession 0001225208-16-042195
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A James
Officer — Executive Chairman · Director · 10% Owner
Period of report
Nov 21, 2016
Accepted (ET)
Nov 23, 2016 · 3:44 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 21, 2016 | A | 3,040 | $0.00 | A | 13,336,715 | D | |
| Common StockF2 | holding | — | — | — | 200 | I | ESOP | |
| Common StockF3 | holding | — | — | — | 1,325,508 | I | Robert A. James Trust | |
| Common Stock | holding | — | — | — | 48,087 | I | Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/13/2013.
- F2Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 17, 2016.
- F3The reporting person is the trustee of the trust. 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 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.