0001225208-18-016807.txt : 20181218 0001225208-18-016807.hdr.sgml : 20181218 20181218155122 ACCESSION NUMBER: 0001225208-18-016807 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181214 FILED AS OF DATE: 20181218 DATE AS OF CHANGE: 20181218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: REILLY PAUL C CENTRAL INDEX KEY: 0001240439 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 181240480 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 2018-12-14 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001240439 REILLY PAUL C 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 1 Chief Executive Officer Common Stock 2018-12-15 4 M 0 20891.0000 0 A 155824.0000 D Common Stock 2018-12-15 4 F 0 7729.0000 74.3400 D 148095.0000 D Common Stock 906.0000 I ESOP Restricted Stock Units 2018-12-14 4 A 0 29108.0000 0.0000 A 2021-12-14 2021-12-14 Common Stock 29108.0000 29108.0000 D Restricted Stock Units 2018-12-15 4 M 0 20891.0000 0.0000 D 2018-12-15 2018-12-15 Common Stock 20891.0000 0.0000 D 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 Employee Stock Ownership Plan (ESOP) account through December 14, 2018. Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. 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, (ii) the vesting of RSUs awarded to the reporting person on 12/15/2015, and (iii) a disposition by the reporting person to the issuer to cover tax liability in connection with such vesting. /s/ Paul C. Reilly by Jonathan J. Doyle as Attorney-in-Fact 2018-12-18