SEC Form 4 · accession 0001225208-18-016806
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey A Dowdle
Officer — CAO & President, Asset Mgmt.
Period of report
Dec 14, 2018
Accepted (ET)
Dec 18, 2018 · 3:50 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 15, 2018 | M | 2,240 | $0.00 | A | 42,736 | D | |
| Common StockF3 | holding | — | — | — | 8,053 | I | ESOP | |
| Common StockF4 | holding | — | — | — | 1,500 | I | UTMA Custodian for Daughter EC | |
| Common StockF4 | holding | — | — | — | 1,500 | I | UTMA Custodian for Son GT |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF5,F1 | — | Dec 14, 2018 | A | 2,564 | A | Dec 14, 2021 | Dec 14, 2021 | Common Stock | 2,564 | 2,564 | D |
| Restricted Stock UnitsF1 | — | Dec 15, 2018 | M | 2,240 | D | Dec 15, 2018 | Dec 15, 2018 | Common Stock | 2,240 | 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 311 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 14, 2018.
- F4The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F5Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan.
Remarks
This Form 4 reports (i) a grant of RSUs under the issuer's Amended and Restated 2012 Stock Incentive Plan as a portion of the annual bonus to the reporting person and (ii) the vesting of RSUs awarded to the reporting person on 12/15/2015.