0001225208-21-014077.txt : 20211123 0001225208-21-014077.hdr.sgml : 20211123 20211123151556 ACCESSION NUMBER: 0001225208-21-014077 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211122 FILED AS OF DATE: 20211123 DATE AS OF CHANGE: 20211123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shoukry Paul M CENTRAL INDEX KEY: 0001798349 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 211437932 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 2021-11-22 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001798349 Shoukry Paul M 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 CFO and Treasurer Common Stock 2021-11-22 4 M 0 900.0000 0 A 9666.0000 D Common Stock 2021-11-22 4 F 0 219.0000 98.6400 D 9447.0000 D Common Stock 1113.0000 I ESOP Restricted Stock Units 2021-11-22 4 M 0 900.0000 0.0000 D 2022-11-22 Common Stock 900.0000 900.0000 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. On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's ownership of additional shares of common stock. Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 19, 2021, but was adjusted to reflect the stock split that occurred on September 21, 2021. RSUs vested 60% on 11/22/2020, 20% on 11/22/2021, and will vest 20% on 11/22/2022. The RSU grant was previously reported as covering 3,000 shares awarded on November 22, 2017, of which 1,200 shares remained outstanding, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 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 the tax liability in connection with such vesting, and (iii) revised balances in holdings of the registrant's common stock after giving effect to a 3-for-2 stock split by means of a stock dividend that was effected on September 21, 2021. /s/ Paul M. Shoukry by Jonathan J. Doyle as Attorney-in-Fact 2021-11-23