SEC Form 4 · accession 0001225208-18-015716
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Catanese
Officer — SVP, Chief Risk Officer
Period of report
Nov 18, 2018
Accepted (ET)
Nov 20, 2018 · 3:19 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 | Nov 18, 2018 | M | 900 | $0.00 | A | 6,278 | D | |
| Common StockF2 | holding | — | — | — | 31 | 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,F3 | — | Nov 18, 2018 | M | 900 | D | — | Nov 18, 2020 | Common Stock | 900 | 600 | 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.
- F2Since the date of the reporting person's last Form 4 reflecting common stock holdings, the reporting person has disposed of 1,129 shares held in his Employee Stock Ownership Plan (ESOP) account pursuant to a diversification election made under the Internal Revenue Code, and his ESOP account has received additional allocations under the ESOP through November 18, 2018.
- F3RSUs vested 60% on 11/18/2018, and will vest 20% on 11/18/2019, and 20% on 11/18/2020.
Remarks
This Form 4 reports the partial vesting of RSUs awarded to the reporting person on November 18, 2015.