0001225208-22-012848.txt : 20221215
0001225208-22-012848.hdr.sgml : 20221215
20221215173055
ACCESSION NUMBER: 0001225208-22-012848
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: REILLY PAUL C
CENTRAL INDEX KEY: 0001240439
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09109
FILM NUMBER: 221465804
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
0001240439
REILLY PAUL C
880 CARILLON PARKWAY
ST. PETERSBURG
FL
33716
1
1
Chair & CEO
Common Stock
2022-12-13
4
M
0
38736.0000
0
A
305847.0000
D
Common Stock
2022-12-13
4
F
0
14332.0000
111.5200
D
291515.0000
D
Common Stock
2022-12-14
4
S
0
24016.0000
111.2729
D
267499.0000
D
Common Stock
1773.0000
I
ESOP
Restricted Stock Units
2022-12-13
4
M
0
38736.0000
0.0000
D
2022-12-13
2022-12-13
Common Stock
38736.0000
0.0000
D
Restricted Stock Units
2022-12-15
4
A
0
11788.0000
0.0000
A
2027-12-15
Common Stock
11788.0000
11788.0000
D
Restricted Stock Units
2022-12-15
4
A
0
30853.0000
0.0000
A
2025-12-15
2025-12-15
Common Stock
30853.0000
30853.0000
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 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 $111.00 to $111.55.
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 25,824 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) the open market sale by the reporting person of shares of common stock, (iv) a grant of retention RSUs to the reporting person, and (v) a grant of RSUs as a portion of the annual bonus to the reporting person.
/s/ Paul C. Reilly by Jonathan J. Doyle as Attorney-in-Fact
2022-12-15