0001225208-20-014273.txt : 20201204 0001225208-20-014273.hdr.sgml : 20201204 20201204162010 ACCESSION NUMBER: 0001225208-20-014273 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201202 FILED AS OF DATE: 20201204 DATE AS OF CHANGE: 20201204 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: 201370110 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 2020-12-02 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001672865 Santelli Jonathan N 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 EVP, Gen Counsel, Secy Common Stock 2020-12-02 4 A 0 667.0000 0.0000 A 6197.0000 D Common Stock 2020-12-03 4 S 0 757.0000 94.5074 D 5440.0000 D Common Stock 2020-12-03 4 S 0 2243.0000 94.3693 D 3197.0000 D Common Stock 177.0000 I ESOP Restricted Stock Units 2020-12-03 4 A 0 5000.0000 0.0000 A 2025-11-30 Common Stock 5000.0000 5000.0000 D Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2017. 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 $94.49 to $94.52. Reflects the weighted average sale price. The range of prices for such transaction was $94.33 to $94.47. 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) the acquisition by the reporting person of common stock resulting from the vesting of Restricted Stock Units (RSUs) granted on 12/15/2017 based on the company's attaining certain levels of average after-tax return-on-equity over a three-year measurement period, (ii) the open market sales by the reporting person of shares of common stock, and (iii) a grant of RSUs to the reporting person. /s/ Jonathan N. Santelli by Jonathan J. Doyle as Attorney-in-Fact 2020-12-04