0001225208-22-012830.txt : 20221215 0001225208-22-012830.hdr.sgml : 20221215 20221215154426 ACCESSION NUMBER: 0001225208-22-012830 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221213 FILED AS OF DATE: 20221215 DATE AS OF CHANGE: 20221215 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dowdle Jeffrey A CENTRAL INDEX KEY: 0001541020 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 221464727 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 2022-12-13 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001541020 Dowdle Jeffrey A 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 COO & Head of Asset Mgmt. Common Stock 2022-12-13 4 M 0 3606.0000 0 A 55968.0000 D Common Stock 2022-12-13 4 F 0 1334.0000 111.5200 D 54634.0000 D Common Stock 1125.0000 I by Daughter EC Common Stock 13172.0000 I ESOP Common Stock 1125.0000 I UTMA Custodian for Son GT Restricted Stock Units 2022-12-13 4 M 0 3606.0000 0.0000 D 2022-12-13 2022-12-13 Common Stock 3606.0000 0.0000 D Restricted Stock Units 2022-12-15 4 A 0 5440.0000 0.0000 A 2027-12-15 Common Stock 5440.0000 5440.0000 D Restricted Stock Units 2022-12-15 4 A 0 2834.0000 0.0000 A 2025-12-15 2025-12-15 Common Stock 2834.0000 2834.0000 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. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 9, 2022. The RSU grant was previously reported as covering 2,404 shares awarded on December 13, 2019, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. RSUs vest 60% on 12/15/2025, 20% on 12/15/2026, and 20% on 12/15/2027. Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. This Form 4 reports (i) the vesting of RSUs awarded to the reporting person on December 13, 2019, (ii) a disposition by the reporting person to the issuer to cover tax liability in connection with such vesting, (iii) a grant of retention RSUs to the reporting person, and (iv) a grant of RSUs as a portion of the annual bonus to the reporting person. /s/ Jeffrey A. Dowdle by Jonathan J. Doyle as Attorney-in-Fact 2022-12-15