SEC Form 4 · accession 0001225208-16-043479
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 15, 2016
Accepted (ET)
Dec 19, 2016 · 2:51 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 14, 2016 | G | 230 | $0.00 | D | 44,888 | D | |
| Common Stock | Dec 16, 2016 | G | 165 | $0.00 | D | 44,723 | D | |
| Common StockF1 | holding | — | — | — | 7,747 | I | ESOP | |
| Common StockF2 | holding | — | — | — | 1,500 | I | UTMA Custodian for Daughter EC | |
| Common StockF2 | 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 UnitsF4,F3 | — | Dec 15, 2016 | A | 1,793 | A | Dec 15, 2019 | Dec 15, 2019 | Common Stock | 1,793 | 1,793 | 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.
- F2The 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.
- F3Each 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.
- F4Award of RSUs as a portion of annual bonus under 2012 Stock Incentive Plan.
Remarks
This Form 4 reports (i) gifts of shares by the reporting person and (ii) a grant of RSUs under the issuer's 2012 Stock Incentive Plan as a portion of the annual bonus to the reporting person.