SEC Form 4 · accession 0001225208-16-042518
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Paul D Allison
Officer — Chair, President & CEO RJ Ltd.
Period of report
Nov 30, 2016
Accepted (ET)
Dec 1, 2016 · 4:51 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 Stock | Nov 30, 2016 | S | 16,500 | $71.7951 | D | 21,744 | D | |
| Common StockF1 | holding | — | — | — | 9,628 | I | Rose Allison Holdings Inc. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Nov 30, 2016 | A | 5,000 | A | — | Nov 30, 2021 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1A corporation that is wholly owned by the reporting person's spouse. 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.
- 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.
- F3RSUs vest 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021.
Remarks
This Form 4 reports (1) the open market sale by the reporting person of shares of common stock and (2) a grant of Restricted Stock Units (RSUs) to the reporting person.