SEC Form 4 · accession 0001225208-17-004246
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gordon L Johnson
Director
Period of report
Feb 21, 2017
Accepted (ET)
Feb 23, 2017 · 2:21 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 | Feb 21, 2017 | M | 1,380 | $0.00 | A | 12,287 | D | |
| Common StockF1 | Feb 22, 2017 | M | 400 | $0.00 | A | 12,687 | D |
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,F2 | — | Feb 21, 2017 | M | 1,380 | D | — | Feb 21, 2019 | Common Stock | 1,380 | 920 | D |
| Restricted Stock UnitsF1,F3 | — | Feb 22, 2017 | M | 400 | D | — | Feb 22, 2018 | Common Stock | 400 | 400 | 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.
- F2Of the 2,300 RSUs granted, 60% vested on 2/21/2017, 20% will vest on 2/21/2018 and 20% on 2/21/2019.
- F3Of the 2,000 RSUs granted, 60% vested on 2/22/2016, 20% on 2/22/2017, and 20% will vest on 2/22/2018.
Remarks
This Form 4 reports (i) the vesting of a portion of RSUs awarded to the reporting person on 2/22/2013 and (ii) the vesting of a portion of RSUs awarded to the reporting person on 2/21/2014.