SEC Form 4 · accession 0001225208-17-018908
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, 2017
Accepted (ET)
Dec 19, 2017 · 4:41 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 11, 2017 | G | 6,822 | $0.00 | D | 32,264 | D | |
| Common StockF1 | Dec 15, 2017 | M | 2,099 | $0.00 | A | 34,363 | D | |
| Common StockF2 | holding | — | — | — | 7,899 | I | ESOP | |
| Common StockF3 | holding | — | — | — | 1,500 | I | UTMA Custodian for Daughter EC | |
| Common StockF3 | 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 UnitsF1 | — | Dec 15, 2017 | M | 2,099 | D | Dec 15, 2017 | Dec 15, 2017 | Common Stock | 2,099 | 0 | D |
| Restricted Stock UnitsF4,F1 | — | Dec 15, 2017 | A | 1,803 | A | Dec 15, 2020 | Dec 15, 2020 | Common Stock | 1,803 | 1,803 | 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.
- F3The 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.
- F4Award 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.