SEC Form 4 · accession 0001225208-16-043161
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey A Dowdle
Officer — President, Asset Mgmt Group
Period of report
Dec 13, 2016
Accepted (ET)
Dec 14, 2016 · 3:00 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,F2 | Dec 13, 2016 | M | 2,048 | $0.00 | A | 45,118 | D | |
| Common StockF3 | holding | — | — | — | 7,747 | I | ESOP | |
| Common StockF4 | holding | — | — | — | 1,500 | I | UTMA Custodian for Daughter EC | |
| Common StockF4 | holding | — | — | — | 1,500 | I | UTMA Custodian for Son GT |
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 | — | Dec 13, 2016 | M | 2,048 | D | Dec 13, 2016 | Dec 13, 2016 | Common Stock | 2,048 | 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.
- F2Includes 342 shares of common stock acquired on December 2, 2016, pursuant to the registrant's Employee Stock Purchase Plan.
- F3Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 12, 2016.
- F4The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not 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 vesting of RSUs awarded to the reporting person on 12/13/2013.