0001225208-20-014299.txt : 20201207
0001225208-20-014299.hdr.sgml : 20201207
20201207170647
ACCESSION NUMBER: 0001225208-20-014299
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201203
FILED AS OF DATE: 20201207
DATE AS OF CHANGE: 20201207
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Catanese George
CENTRAL INDEX KEY: 0001340350
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09109
FILM NUMBER: 201373375
MAIL ADDRESS:
STREET 1: 880 CARILLON PARKWAY
CITY: ST. PETERSBURG
STATE: X1
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
2020-12-03
0000720005
RAYMOND JAMES FINANCIAL INC
RJF
0001340350
Catanese George
880 CARILLON PARKWAY
ST. PETERSBURG
FL
33716
1
Chief Risk Officer
Common Stock
2020-12-04
4
S
0
227.0000
96.5744
D
7974.0000
D
Common Stock
2020-12-04
4
S
0
308.0000
96.3008
D
7666.0000
D
Common Stock
2020-12-04
4
S
0
651.0000
96.5701
D
7015.0000
D
Common Stock
2020-12-04
4
S
0
1385.0000
96.3291
D
5630.0000
D
Common Stock
2020-12-04
4
S
0
2320.0000
96.4937
D
3310.0000
D
Common Stock
2020-12-04
5
G
0
150.0000
0.0000
D
3160.0000
D
Common Stock
68.0000
I
ESOP
Restricted Stock Units
2020-12-03
4
A
0
3000.0000
0.0000
A
2025-11-30
Common Stock
3000.0000
3000.0000
D
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 $96.57 to $96.58.
Reflects the weighted average sale price. The range of prices for such transaction was $96.31 to $96.37.
Reflects the weighted average sale price. The range of prices for such transaction was $96.43 to $96.59.
Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 26, 2020.
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 11/30/2023, 20% on 11/30/2024, and 20% on 11/30/2025.
This Form 4 reports (i) a grant of RSUs to the reporting person, (ii) the open market sales by the reporting person of shares of common stock, and (iii) the gift of shares by the reporting person.
/s/ George Catanese by Jonathan J. Doyle as Attorney-in-Fact
2020-12-07