0001225208-23-011189.txt : 20231218 0001225208-23-011189.hdr.sgml : 20231218 20231218120827 ACCESSION NUMBER: 0001225208-23-011189 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231215 FILED AS OF DATE: 20231218 DATE AS OF CHANGE: 20231218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carter Horace CENTRAL INDEX KEY: 0001902821 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 231492794 MAIL ADDRESS: STREET 1: 1100 RIDGEWAY LOOP ROAD CITY: MEMPHIS STATE: TN ZIP: 38120 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RAYMOND JAMES FINANCIAL INC CENTRAL INDEX KEY: 0000720005 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] ORGANIZATION NAME: 02 Finance 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 2023-12-15 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001902821 Carter Horace 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 President, Fixed Income 0 Restricted Stock Units 2023-12-15 4 A 0 5411.0000 0.0000 A 2028-12-15 Common Stock 5411.0000 5411.0000 D Restricted Stock Units 2023-12-15 4 A 0 1037.0000 0.0000 A 2026-12-15 2026-12-15 Common Stock 1037.0000 1037.0000 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. RSUs vest 60% on 12/15/2026, 20% on 12/15/2027, and 20% on 12/15/2028. Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. This Form 4 reports (i) a grant of retention RSUs to the reporting person, and (ii) a grant of RSUs as a portion of the annual bonus to the reporting person. /s/ Horace Carter by Jonathan J. Doyle as Attorney-in-Fact 2023-12-18