SEC Form 4 · accession 0001225208-16-043171
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Carson Jr.
Officer — President
Period of report
Dec 13, 2016
Accepted (ET)
Dec 14, 2016 · 4:03 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 | Dec 13, 2016 | M | 4,863 | $0.00 | A | 54,643 | D | |
| Common Stock | Dec 13, 2016 | F | 2,040 | $71.60 | D | 52,603 | D | |
| Common StockF2 | holding | — | — | — | 377 | 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 UnitsF1 | — | Dec 13, 2016 | M | 4,863 | D | Dec 13, 2016 | Dec 13, 2016 | Common Stock | 4,863 | 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 shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 12, 2016.
Remarks
This Form 4 reports (i) the vesting of RSUs awarded to the reporting person on 12/13/2013 and (ii) a disposition by the reporting person to the issuer to cover tax liability in connection with such vesting.