0001225208-23-010604.txt : 20231201
0001225208-23-010604.hdr.sgml : 20231201
20231201162138
ACCESSION NUMBER: 0001225208-23-010604
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231120
FILED AS OF DATE: 20231201
DATE AS OF CHANGE: 20231201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Raney Steven M
CENTRAL INDEX KEY: 0001422342
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09109
FILM NUMBER: 231459828
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
X0508
4
2023-11-20
0000720005
RAYMOND JAMES FINANCIAL INC
RJF
0001422342
Raney Steven M
880 CARILLON PARKWAY
ST. PETERSBURG
FL
33716
1
President & CEO RJBank
0
Common Stock
2023-11-20
4
A
0
2214.0000
0.0000
A
56964.0000
D
Common Stock
2023-11-29
4
M
0
1500.0000
0
A
59634.0000
D
Common Stock
2023-11-29
4
F
0
365.0000
102.7300
D
59269.0000
D
Common Stock
2023-11-30
4
M
0
4500.0000
0
A
63769.0000
D
Common Stock
2023-11-30
4
F
0
1274.0000
103.7500
D
62495.0000
D
Common Stock
2023-12-01
4
S
0
5531.0000
106.8352
D
56964.0000
D
Common Stock
2982.0000
I
ESOP
Restricted Stock Units
2023-11-29
4
M
0
1500.0000
0.0000
D
2023-11-29
Common Stock
1500.0000
0.0000
D
Restricted Stock Units
2023-11-30
4
M
0
4500.0000
0.0000
D
2025-11-30
Common Stock
4500.0000
3000.0000
D
Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2020. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.
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 $106.79 to $106.90.
Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 20, 2023.
RSUs vested 60% on 11/29/2021, 20% on 11/29/2022, and 20% on 11/29/2023.
RSUs vested 60% on 11/30/2023 and will vest 20% on 11/30/2024 and 20% on 11/30/2025.
The RSU grant was previously reported as covering 5,000 shares awarded on December 3, 2020, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
This Form 4 reports (i) the acquisition by the reporting person of common stock resulting from the vesting of Restricted Stock Units (RSUs) granted on 12/15/2020 based on the company's attaining certain levels of average after-tax return-on-equity over a three-year measurement period, (ii) the partial vestings of RSUs awarded to the reporting person, (iii) dispositions by the reporting person to the issuer to cover the tax liability in connection with such vestings, and (iv) the open market sale by the reporting person of shares of common stock.
/s/ Steven M. Raney by Jonathan J. Doyle as Attorney-in-Fact
2023-12-01