0001225208-23-010606.txt : 20231201 0001225208-23-010606.hdr.sgml : 20231201 20231201162246 ACCESSION NUMBER: 0001225208-23-010606 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: REILLY PAUL C CENTRAL INDEX KEY: 0001240439 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 231459856 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 0001240439 REILLY PAUL C 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 1 Chair & CEO 0 Common Stock 2023-11-20 4 A 0 69375.0000 0.0000 A 310125.0000 D Common Stock 2023-11-29 4 M 0 3750.0000 0 A 316238.0000 D Common Stock 2023-11-29 4 F 0 1387.0000 102.7300 D 314851.0000 D Common Stock 2023-11-29 4 S 0 50000.0000 103.9903 D 264851.0000 D Common Stock 2023-11-30 4 M 0 11700.0000 0 A 276551.0000 D Common Stock 2023-11-30 4 F 0 4329.0000 103.7500 D 272222.0000 D Common Stock 1855.0000 I ESOP Restricted Stock Units 2023-11-29 4 M 0 3750.0000 0.0000 D 2023-11-29 Common Stock 3750.0000 0.0000 D Restricted Stock Units 2023-11-30 4 M 0 11700.0000 0.0000 D 2025-11-30 Common Stock 11700.0000 7800.0000 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 $103.77 to $104.22. 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 13,000 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 vesting, and (iv) the open market sale by the reporting person of shares of common stock. /s/ Paul C. Reilly by Jonathan J. Doyle as Attorney-in-Fact 2023-12-01