SEC Form 4 · accession 0001225208-17-018904
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis W Zank
Officer — Chief Operating Officer
Period of report
Dec 15, 2017
Accepted (ET)
Dec 19, 2017 · 4:40 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 4, 2017 | G | 50 | $0.00 | D | 146,651 | D | |
| Common StockF1 | Dec 15, 2017 | M | 4,220 | $0.00 | A | 150,871 | D | |
| Common StockF2 | holding | — | — | — | 52,412 | 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 15, 2017 | M | 4,220 | D | Dec 15, 2017 | Dec 15, 2017 | Common Stock | 4,220 | 0 | D |
| Restricted Stock UnitsF3,F1 | — | Dec 15, 2017 | A | 3,895 | A | Dec 15, 2020 | Dec 15, 2020 | Common Stock | 3,895 | 3,895 | 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 November 28, 2017.
- F3Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan.
Remarks
This Form 4 reports (1) the grant of RSUs under the issuer's Amended and Restated 2012 Stock Incentive Plan as a portion of the annual bonus to the reporting person, (2) the vesting of RSUs awarded to the reporting person on 12/15/2014, and (3) the gift of shares by the reporting person.