SEC Form 4 · accession 0001225208-19-004262
RAYMOND JAMES FINANCIAL INC · RJF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anne Gates
Director
Period of report
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 1:25 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 | Feb 28, 2019 | M | 1,617 | $0.00 | A | 1,617 | D |
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,F2 | — | Feb 28, 2019 | A | 1,789 | A | — | — | Common Stock | 1,789 | 3,406 | D |
| Restricted Stock UnitsF1,F3 | — | Feb 28, 2019 | M | 1,617 | D | — | — | Common Stock | 1,617 | 1,789 | 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 award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2020.
- F3The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.
Remarks
This Form 4 reports (i) the acquisition by the reporting person of RSUs resulting from an annual grant to the registrant's non-executive directors and (ii) the vesting of RSUs awarded to the reporting person.