0001225208-19-014740.txt : 20191121 0001225208-19-014740.hdr.sgml : 20191121 20191121161600 ACCESSION NUMBER: 0001225208-19-014740 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191119 FILED AS OF DATE: 20191121 DATE AS OF CHANGE: 20191121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ACKART JENNIFER C CENTRAL INDEX KEY: 0001181167 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 191237575 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 2019-11-19 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001181167 ACKART JENNIFER C 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 SVP, Controller & CAO Common Stock 2019-11-19 4 M 0 860.0000 0 A 10077.0000 D Common Stock 2019-11-19 4 F 0 205.0000 89.2500 D 9872.0000 D Common Stock 2019-11-20 4 M 0 4000.0000 37.8700 A 13872.0000 D Common Stock 2019-11-20 4 F 0 1808.0000 88.9700 D 12064.0000 D Common Stock 4330.0000 I ESOP Restricted Stock Units 2019-11-19 4 M 0 860.0000 0.0000 D 2020-11-19 Common Stock 860.0000 860.0000 D Employee Stock Option (right to buy) 37.8700 2019-11-20 4 M 0 4000.0000 0.0000 D 2019-11-29 Common Stock 4000.0000 0.0000 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. Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 18, 2019. RSUs vested 60% on 11/19/2018, 20% on 11/19/2019, and will vest 20% on 11/19/2020. The stock option vested 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017. This Form 4 reports (i) the partial vesting of RSUs awarded to the reporting person and disposition by the reporting person to the issuer to cover tax liability in connection with such vesting and (ii) the exercise of stock options and disposition by the reporting person to the issuer to cover the exercise price and tax liability in connection with such exercise. /s/ Jennifer C. Ackart by Jonathan J. Doyle as Attorney-in-Fact 2019-11-21