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