0001225208-18-015992.txt : 20181130 0001225208-18-015992.hdr.sgml : 20181130 20181130134750 ACCESSION NUMBER: 0001225208-18-015992 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181128 FILED AS OF DATE: 20181130 DATE AS OF CHANGE: 20181130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carson John C Jr. CENTRAL INDEX KEY: 0001509485 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 181210728 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 2018-11-28 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001509485 Carson John C Jr. 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 President Common Stock 2018-11-28 4 A 0 4884.0000 0.0000 A 65622.0000 D Common Stock 509.0000 I ESOP Restricted Stock Units 2018-11-29 4 A 0 5000.0000 0.0000 A 2023-11-29 Common Stock 5000.0000 5000.0000 D Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2015. Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 28, 2018. 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 11/29/2021, 20% on 11/29/2022, and 20% on 11/29/2023. This Form 4 reports (1) the acquisition by the reporting person of common stock resulting from the vesting of Restricted Stock Units (RSUs) granted on 12/15/2015 based on the company's attaining certain levels of average after-tax return-on-equity over a three-year measurement period and (2) a grant of RSUs to the reporting person. /s/ John C. Carson, Jr. by Jonathan J. Doyle as Attorney-in-Fact 2018-11-30