0001225208-20-014747.txt : 20201216
0001225208-20-014747.hdr.sgml : 20201216
20201216131739
ACCESSION NUMBER: 0001225208-20-014747
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201214
FILED AS OF DATE: 20201216
DATE AS OF CHANGE: 20201216
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: 201391888
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
2020-12-14
0000720005
RAYMOND JAMES FINANCIAL INC
RJF
0001240439
REILLY PAUL C
880 CARILLON PARKWAY
ST. PETERSBURG
FL
33716
1
1
Chairman & CEO
Common Stock
2020-12-14
4
S
0
13816.0000
92.8405
D
72052.0000
D
Common Stock
2020-12-15
4
M
0
21930.0000
0
A
93982.0000
D
Common Stock
2020-12-15
4
F
0
8114.0000
93.4900
D
85868.0000
D
Common Stock
1084.0000
I
ESOP
Restricted Stock Units
2020-12-15
4
M
0
21930.0000
0.0000
D
2020-12-15
2020-12-15
Common Stock
21930.0000
0.0000
D
Restricted Stock Units
2020-12-15
4
A
0
20555.0000
0.0000
A
2023-12-15
2023-12-15
Common Stock
20555.0000
20555.0000
D
The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
Reflects the weighted average sale price. The range of prices for such transaction was $92.42 to $93.31.
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 8, 2020.
Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan.
This Form 4 reports (i) the open market sale by the reporting person of shares of common stock, (ii) 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, (iii) the vesting of RSUs awarded to the reporting person on December 15, 2017, and (iv) 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
2020-12-16