0001225208-19-015116.txt : 20191203 0001225208-19-015116.hdr.sgml : 20191203 20191203065318 ACCESSION NUMBER: 0001225208-19-015116 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191130 FILED AS OF DATE: 20191203 DATE AS OF CHANGE: 20191203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Santelli Jonathan N CENTRAL INDEX KEY: 0001672865 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 191264600 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: SAINT 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 2019-11-30 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001672865 Santelli Jonathan N 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 EVP, Gen Counsel, Secy Common Stock 2019-11-30 4 M 0 3000.0000 0 A 4425.0000 D Common Stock 2019-11-30 4 F 0 730.0000 89.8200 D 3695.0000 D Common Stock 2019-12-02 4 S 0 2270.0000 88.2182 D 1425.0000 D Common Stock 99.0000 I ESOP Restricted Stock Units 2019-11-30 4 M 0 3000.0000 0.0000 D 2021-11-30 Common Stock 3000.0000 2000.0000 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. 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 $88.20 to $88.26. Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 22, 2019. RSUs vested 60% on 11/30/2019, 20% will vest on 11/30/2020, and 20% will vest on 11/30/2021. This Form 4 reports (i) the partial vesting of RSUs awarded to the reporting person, (ii) a disposition by the reporting person to the issuer to cover tax liability in connection with such vesting, and (iii) the open market sale by the reporting person of shares of common stock. /s/ Jonathan N. Santelli by Jonathan J. Doyle as Attorney-in-Fact 2019-12-03