0001225208-16-042518.txt : 20161201 0001225208-16-042518.hdr.sgml : 20161201 20161201165100 ACCESSION NUMBER: 0001225208-16-042518 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161130 FILED AS OF DATE: 20161201 DATE AS OF CHANGE: 20161201 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Allison Paul D CENTRAL INDEX KEY: 0001453440 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 162028894 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33716 4 1 doc4.xml X0306 4 2016-11-30 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001453440 Allison Paul D 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 Chair, President & CEO RJ Ltd. Common Stock 2016-11-30 4 S 0 16500.0000 71.7951 D 21744.0000 D Common Stock 9628.0000 I Rose Allison Holdings Inc. Restricted Stock Units 2016-11-30 4 A 0 5000.0000 0.0000 A 2021-11-30 Common Stock 5000.0000 5000.0000 D A corporation that is wholly owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. 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 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021. This Form 4 reports (1) the open market sale by the reporting person of shares of common stock and (2) a grant of Restricted Stock Units (RSUs) to the reporting person. /s/ Paul D. Allison by Jonathan J. Doyle as Attorney-in-Fact 2016-12-01