SEC Form 4 · accession 0001225208-16-043438
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Catanese
Officer — Senior Vice President
Period of report
Dec 15, 2016
Accepted (ET)
Dec 19, 2016 · 11:08 am 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 15, 2016 | S | 1,179 | $71.8934 | D | 9,178 | D | |
| Common StockF1 | holding | — | — | — | 1,020 | 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 UnitsF3,F2 | — | Dec 15, 2016 | A | 1,072 | A | Dec 15, 2019 | Dec 15, 2019 | Common Stock | 1,072 | 1,072 | D |
Explanation of responses
- F1Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 12, 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.
- F3Award of RSUs as a portion of annual bonus under 2012 Stock Incentive Plan.
Remarks
This Form 4 reports (i) the open market sale by the reporting person of shares of common stock and (ii) the grant of RSUs under the issuer's 2012 Stock Incentive Plan as a portion of the annual bonus to the reporting person.