0001225208-21-015040.txt : 20211216 0001225208-21-015040.hdr.sgml : 20211216 20211216135724 ACCESSION NUMBER: 0001225208-21-015040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211214 FILED AS OF DATE: 20211216 DATE AS OF CHANGE: 20211216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Catanese George CENTRAL INDEX KEY: 0001340350 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 211497339 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: X1 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 2021-12-14 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001340350 Catanese George 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 Chief Risk Officer Common Stock 2021-12-14 4 M 0 1092.0000 0 A 11267.0000 D Common Stock 2021-12-14 4 F 0 404.0000 96.4000 D 10863.0000 D Common Stock 159.0000 I ESOP Restricted Stock Units 2021-12-14 4 M 0 1092.0000 0.0000 D 2021-12-14 2021-12-14 Common Stock 1092.0000 0.0000 D Restricted Stock Units 2021-12-15 4 A 0 778.0000 0.0000 A 2024-12-15 2024-12-15 Common Stock 778.0000 778.0000 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. Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 6, 2021. The RSU grant was previously reported as covering 728 shares awarded on December 14, 2018, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. 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, (ii) the vesting of RSUs awarded to the reporting person on December 14, 2018, and (iii) a disposition by the reporting person to the issuer to cover tax liability in connection with such vesting. /s/ George Catanese by Jonathan J. Doyle as Attorney-in-Fact 2021-12-16