SEC Form 4 · accession 0001225208-18-016014
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
Period of report
Nov 28, 2018
Accepted (ET)
Nov 30, 2018 · 4:42 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 28, 2018 | A | 4,884 | $0.00 | A | 12,058,438 | I | By Thomas A. James Family Rev Trust |
| Common Stock | holding | — | — | — | 33,750 | I | By James Ventures, Inc. | |
| Common StockF2 | holding | — | — | — | 662,754 | I | By Robert A. James Trust | |
| Common Stock | holding | — | — | — | 1,000,000 | I | By TA James Ventures Partnership | |
| Common StockF3 | holding | — | — | — | 307 | I | ESOP | |
| Common Stock | holding | — | — | — | 108,087 | I | Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2015.
- F2The 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.
- F3Includes shares of common stock held in the reporting person's Employee Stock Ownership Plan (ESOP) account through November 28, 2018.
Remarks
This Form 4 reports the acquisition by the reporting person of common stock resulting from the vesting of Restricted Stock Units (RSUs) granted on 12/15/2015 based on the company's attaining certain levels of average after-tax return-on-equity over a three-year measurement period.