SEC Form 4 · accession 0001225208-18-016266
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jodi Perry
Officer — President, ICD for RJFS
Period of report
Dec 4, 2018
Accepted (ET)
Dec 6, 2018 · 2:18 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,F2 | Dec 4, 2018 | M | 206 | $0.00 | A | 1,276 | D | |
| Common StockF2 | Dec 4, 2018 | F | 50 | $76.25 | D | 1,226 | D | |
| Common StockF3 | holding | — | — | — | 2,847 | 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 | — | Dec 4, 2018 | M | 206 | D | Dec 4, 2018 | Dec 4, 2018 | Common Stock | 206 | 0 | 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.
- F2Includes 52 shares of common stock acquired on December 4, 2018, pursuant to the registrant's Employee Stock Purchase Plan.
- F3Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 4, 2018.
Remarks
This Form 4 reports (i) the vesting of RSUs awarded to the reporting person and (ii) a disposition by the reporting person to the issuer to cover tax liability in connection with such vesting.