0001225208-20-014801.txt : 20201217 0001225208-20-014801.hdr.sgml : 20201217 20201217142047 ACCESSION NUMBER: 0001225208-20-014801 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201215 FILED AS OF DATE: 20201217 DATE AS OF CHANGE: 20201217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Allison Paul D CENTRAL INDEX KEY: 0001453440 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 201395462 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 2020-12-15 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001453440 Allison Paul D 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 Chair, President & CEO RJ Ltd. Common Stock 2020-12-15 4 M 0 1255.0000 0 A 20054.0000 D Common Stock 23950.0000 I Rose Allison Holdings Inc. Restricted Stock Units 2020-12-15 4 M 0 1255.0000 0.0000 D 2020-12-15 2020-12-15 Common Stock 1255.0000 0.0000 D Restricted Stock Units 2020-12-15 4 A 0 1241.0000 0.0000 A 2023-12-15 2023-12-15 Common Stock 1241.0000 1241.0000 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. A corporation that is wholly owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. This Form 4 reports (i) a grant of RSUs under the issuer's Amended and Restated 2012 Stock Incentive Plan as a portion of the annual bonus to the reporting person and (ii) the vesting of RSUs awarded to the reporting person on December 15, 2017. /s/ Paul D. Allison by Jonathan J. Doyle as Attorney-in-Fact 2020-12-17