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