SEC Form 4 · accession 0001225208-17-018928
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A James
Officer — Chairman Emeritus · Director · 10% Owner
Period of report
Dec 15, 2017
Accepted (ET)
Dec 19, 2017 · 6:12 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 7, 2017 | G | 60,000 | $0.00 | D | 12,049,904 | I | By Thomas A. James Family Rev Trust |
| Common StockF2 | Dec 15, 2017 | M | 3,650 | $0.00 | A | 12,053,554 | I | By Thomas A. James Family Rev Trust |
| Common Stock | Dec 7, 2017 | G | 60,000 | $0.00 | A | 108,087 | I | Spouse |
| Common Stock | holding | — | — | — | 33,750 | I | By James Ventures, Inc. | |
| Common StockF3 | holding | — | — | — | 662,754 | I | By Robert A. James Trust | |
| Common Stock | holding | — | — | — | 1,000,000 | I | By TA James Ventures Partnership | |
| Common StockF4 | holding | — | — | — | 258 | 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 UnitsF2 | — | Dec 15, 2017 | M | 3,650 | D | Dec 15, 2017 | Dec 15, 2017 | Common Stock | 3,650 | 0 | D |
| Restricted Stock UnitsF5,F2 | — | Dec 15, 2017 | A | 3,174 | A | Dec 15, 2020 | Dec 15, 2020 | Common Stock | 3,174 | 3,174 | D |
Explanation of responses
- F1This transaction involved a gift of shares by the reporting person to his spouse.
- 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.
- F3The reporting person is the trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F4Includes shares of common stock held in the reporting person's Employee Stock Ownership Plan (ESOP) account through November 27, 2017.
- F5Award 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.