0001225208-21-003892.txt : 20210226 0001225208-21-003892.hdr.sgml : 20210226 20210226101512 ACCESSION NUMBER: 0001225208-21-003892 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210224 FILED AS OF DATE: 20210226 DATE AS OF CHANGE: 20210226 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: REILLY PAUL C CENTRAL INDEX KEY: 0001240439 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 21684521 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 2021-02-24 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001240439 REILLY PAUL C 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 1 Chairman & CEO Common Stock 2021-02-24 4 S 0 3967.0000 121.3874 D 73354.0000 D Common Stock 2021-02-25 4 S 0 10000.0000 120.2892 D 63354.0000 D Common Stock 1098.0000 I ESOP 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 $121.23 to $121.56. Reflects the weighted average sale price. The range of prices for such transaction was $120.00 to $120.63. Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through February 24, 2021. This Form 4 reports the open market sale by the reporting person of shares of common stock. As of February 25, 2021, the reporting person's unvested holdings include 113,231 performance-based restricted stock units (RSUs) and 120,487 time-based RSUs, all of which were previously granted pursuant to the terms and conditions of the Raymond James Financial Inc. Amended and Restated 2012 Stock Incentive Plan. /s/ Paul C. Reilly by Jonathan J. Doyle as Attorney-in-Fact 2021-02-26