SEC Form 4 · accession 0001225208-18-003923
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shelley G. Broader
Director
Period of report
Feb 21, 2018
Accepted (ET)
Feb 23, 2018 · 10:17 am 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, 2018 | M | 400 | $0.00 | A | 18,257 | 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, 2018 | M | 400 | D | — | Feb 21, 2019 | Common Stock | 400 | 400 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive, upon vesting of the award: (i) one share of RJF common stock, and (ii) accrued cash in lieu of dividends.
- F2Restricted Stock Units vested 60% on 2/21/2017, vested 20% on 2/21/2018 and will vest 20% on 2/21/2019.
Remarks
This Form 4 reports the vesting of RSUs awarded to the reporting person.