0001225208-22-012029.txt : 20221201 0001225208-22-012029.hdr.sgml : 20221201 20221201144622 ACCESSION NUMBER: 0001225208-22-012029 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221129 FILED AS OF DATE: 20221201 DATE AS OF CHANGE: 20221201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Raney Steven M CENTRAL INDEX KEY: 0001422342 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 221438478 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 2022-11-29 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001422342 Raney Steven M 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 President & CEO RJBank Common Stock 2022-11-29 4 M 0 1500.0000 0 A 57723.0000 D Common Stock 2022-11-29 4 F 0 409.0000 115.3700 D 57314.0000 D Common Stock 2022-11-30 4 A 0 2590.0000 0.0000 A 59904.0000 D Common Stock 2022-11-30 4 M 0 1500.0000 0 A 61404.0000 D Common Stock 2022-11-30 4 F 0 590.0000 116.9000 D 60814.0000 D Common Stock 2882.0000 I ESOP Restricted Stock Units 2022-11-29 4 M 0 1500.0000 0.0000 D 2023-11-29 Common Stock 1500.0000 1500.0000 D Restricted Stock Units 2022-11-30 4 M 0 1500.0000 0.0000 D 2022-11-30 Common Stock 1500.0000 0.0000 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. Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/13/2019. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021. Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 18, 2022. RSUs vested 60% on 11/29/2021, 20% on 11/29/2022, and will vest 20% on 11/29/2023. RSUs vested 60% on 11/30/2020, 20% on 11/30/2021, and 20% on 11/30/2022. 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 12/13/2019 based on the company's attaining certain levels of average after-tax return-on-equity over a three-year measurement period, (ii) the partial vestings of RSUs awarded to the reporting person, and (iii) dispositions by the reporting person to the issuer to cover the tax liability in connection with such vestings. /s/ Steven M. Raney by Jonathan J. Doyle as Attorney-in-Fact 2022-12-01