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