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