0001225208-20-014072.txt : 20201202 0001225208-20-014072.hdr.sgml : 20201202 20201202091413 ACCESSION NUMBER: 0001225208-20-014072 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201130 FILED AS OF DATE: 20201202 DATE AS OF CHANGE: 20201202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Raney Steven M CENTRAL INDEX KEY: 0001422342 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 201362518 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 2020-11-30 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001422342 Raney Steven M 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 President & CEO RJBank Common Stock 2020-11-30 4 M 0 3000.0000 0 A 37101.0000 D Common Stock 2020-11-30 4 M 0 1000.0000 0 A 38101.0000 D Common Stock 2020-11-30 4 F 0 243.0000 90.9500 D 37858.0000 D Common Stock 2020-11-30 4 F 0 730.0000 90.9500 D 37128.0000 D Common Stock 1804.0000 I ESOP Restricted Stock Units 2020-11-30 4 M 0 1000.0000 0.0000 D 2021-11-30 Common Stock 1000.0000 1000.0000 D Restricted Stock Units 2020-11-30 4 M 0 3000.0000 0.0000 D 2022-11-30 Common Stock 3000.0000 2000.0000 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 November 26, 2020. RSUs vested 60% on 11/30/2019, 20% on 11/30/2020, and will vest 20% on 11/30/2021. RSUs vested 60% on 11/30/2020, and will vest 20% on 11/30/2021, and 20% on 11/30/2022. This Form 4 reports (i) the partial vestings of RSUs awarded to the reporting person and (ii) dispositions by the reporting person to the issuer to cover tax liability in connection with such vestings. /s/ Steven M. Raney by Jonathan J. Doyle as Attorney-in-Fact 2020-12-02