SEC Form 4 · accession 0001225208-16-043184
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
Dec 13, 2016
Accepted (ET)
Dec 14, 2016 · 4:28 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 | 3,071 | $0.00 | A | 13,339,786 | D | |
| Common StockF2 | holding | — | — | — | 194 | I | ESOP | |
| Common StockF3 | holding | — | — | — | 1,325,508 | I | Robert A. James Trust | |
| Common Stock | holding | — | — | — | 48,087 | I | Spouse |
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 | 3,071 | D | Dec 13, 2016 | Dec 13, 2016 | Common Stock | 3,071 | 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 held in the reporting person's Employee Stock Ownership Plan (ESOP) account through December 12, 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 vesting of RSUs awarded to the reporting person on 12/13/2013.