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