0001225208-18-015713.txt : 20181120 0001225208-18-015713.hdr.sgml : 20181120 20181120151907 ACCESSION NUMBER: 0001225208-18-015713 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181118 FILED AS OF DATE: 20181120 DATE AS OF CHANGE: 20181120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JULIEN JEFFREY P CENTRAL INDEX KEY: 0001182753 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 181195442 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33716 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RAYMOND JAMES FINANCIAL INC CENTRAL INDEX KEY: 0000720005 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 591517485 STATE OF INCORPORATION: FL FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 880 CARILLON PKWY CITY: ST PETERSBURG STATE: FL ZIP: 33716 BUSINESS PHONE: 727-567-1000 MAIL ADDRESS: STREET 1: 880 CARILLON PKWY CITY: ST. PETERSBURG STATE: FL ZIP: 33716 FORMER COMPANY: FORMER CONFORMED NAME: RJ FINANCIAL CORP/FL DATE OF NAME CHANGE: 19870303 4 1 doc4.xml X0306 4 2018-11-18 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001182753 JULIEN JEFFREY P 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 CFO, Executive VP - Fin Common Stock 2018-11-18 4 M 0 3000.0000 0 A 73165.0000 D Common Stock 2018-11-19 4 M 0 120.0000 0 A 5660.0000 I By Spouse Common Stock 862.0000 I By spouse through ESOP Common Stock 58.0000 I ESOP Restricted Stock Units 2018-11-18 4 M 0 3000.0000 0.0000 D 2020-11-18 Common Stock 3000.0000 2000.0000 D Restricted Stock Units 2018-11-19 4 M 0 120.0000 0.0000 D 2020-11-19 Common Stock 120.0000 80.0000 I By Spouse Each 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. Includes shares of common stock acquired under the reporting person's spouse's Employee Stock Ownership Plan (ESOP) account through November 18, 2018. Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 18, 2018. RSUs vested 60% on 11/18/2018, and will vest 20% on 11/18/2019, and 20% on 11/18/2020. RSUs vested 60% on 11/19/2018, and will vest 20% on 11/19/2019, and 20% on 11/19/2020. This Form 4 reports (i) the partial vesting of RSUs awarded to the reporting person on November 18, 2015 and (ii) the partial vesting of RSUs awarded to the reporting person's spouse on November 19, 2015. /s/ Jeffrey P. Julien by Jonathan J. Doyle as Attorney-in-Fact 2018-11-20