SEC Form 4 · accession 0001225208-18-016826
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
Dec 14, 2018
Accepted (ET)
Dec 18, 2018 · 6:09 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 | 3,877 | $0.00 | A | 12,062,315 | 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 | — | — | — | 293 | I | ESOP | |
| Common Stock | holding | — | — | — | 108,087 | I | Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F1 | — | Dec 14, 2018 | A | 3,639 | A | Dec 14, 2021 | Dec 14, 2021 | Common Stock | 3,639 | 3,639 | D |
| Restricted Stock UnitsF1 | — | Dec 15, 2018 | M | 3,877 | D | Dec 15, 2018 | Dec 15, 2018 | Common Stock | 3,877 | 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.
- 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 December 14, 2018.Does not include 14 shares previously reported as indirectly held through the ESOP which were disposed of pursuant to a required minimum distribution made under Section 428 of the Internal Revenue Code.
- F4Award 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.