SEC Form 4 · accession 0001225208-18-004102
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Gordon L Johnson
Director
Period of report
Feb 22, 2018
Accepted (ET)
Feb 26, 2018 · 3:17 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 22, 2018 | M | 1,580 | $0.00 | A | 15,307 | D | |
| Common StockF1 | Feb 22, 2018 | M | 400 | $0.00 | A | 15,707 | 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 22, 2018 | A | 1,644 | A | — | — | Common Stock | 1,644 | 1,644 | D |
| Restricted Stock UnitsF1,F3 | $0.00 | Feb 22, 2018 | M | 1,580 | D | — | — | Common Stock | 1,580 | 0 | D |
| Restricted Stock UnitsF1,F4 | — | Feb 22, 2018 | M | 400 | D | — | Feb 22, 2018 | Common Stock | 400 | 0 | D |
| Restricted Stock UnitsF1,F2 | — | Feb 23, 2018 | A | 278 | A | — | — | Common Stock | 278 | 1,922 | D |
Explanation of responses
- F1Each Restricted Stock Unit (RSU) 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.
- F2The award will vest at the date of the annual shareholders meeting next succeeding the grant date, but no later than March 15, 2019.
- F3By its terms, the award vested at the date of the annual shareholders meeting next succeeding the grant date, but no later than March 15, 2018.
- F4Restricted Stock Units vested 60% on 2/22/2016, 20% on 2/22/2017 and 20% on 2/22/2018.
Remarks
This Form 4 reports (i) the acquisition by the reporting person of RSUs resulting from an annual grant to the registrant's non-executive directors, (ii) a grant to non-executive directors of Raymond James Bank, a subsidiary of registrant and (iii) the vesting of RSUs awarded to the reporting person.