SEC Form 4 · accession 0001225208-16-042583
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott A Curtis
Officer — President - RJFS
Period of report
Nov 30, 2016
Accepted (ET)
Dec 2, 2016 · 2:24 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 | Dec 1, 2016 | G | 140 | $0.00 | D | 46,196 | D | |
| Common Stock | Dec 2, 2016 | G | 200 | $0.00 | D | 45,996 | D | |
| Common StockF1 | holding | — | — | — | 2,048 | I | ESOP |
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
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 21, 2016.
- 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) gifts of shares by the reporting person and (2) a grant of Restricted Stock Units (RSUs) to the reporting person.