SEC Form 4 · accession 0001225208-18-016822
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul D Allison
Officer — Chair, President & CEO RJ Ltd.
Period of report
Dec 14, 2018
Accepted (ET)
Dec 18, 2018 · 5:41 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 | Dec 15, 2018 | M | 1,420 | $0.00 | A | 29,352 | D | |
| Common StockF2 | holding | — | — | — | 9,628 | I | Rose Allison Holdings Inc. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F1 | — | Dec 14, 2018 | A | 1,671 | A | Dec 14, 2021 | Dec 14, 2021 | Common Stock | 1,671 | 1,671 | D |
| Restricted Stock UnitsF1 | — | Dec 15, 2018 | M | 1,420 | D | Dec 15, 2018 | Dec 15, 2018 | Common Stock | 1,420 | 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.
- F2A corporation that is wholly owned by the reporting person's spouse. 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.
- F3Award 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.