0001225208-22-012046.txt : 20221201 0001225208-22-012046.hdr.sgml : 20221201 20221201152627 ACCESSION NUMBER: 0001225208-22-012046 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: Carter Horace CENTRAL INDEX KEY: 0001902821 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 221438655 MAIL ADDRESS: STREET 1: 1100 RIDGEWAY LOOP ROAD CITY: MEMPHIS STATE: TN ZIP: 38120 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 0001902821 Carter Horace 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 President, Fixed Income Common Stock 2022-11-29 4 M 0 450.0000 0 A 22824.0000 D Common Stock 1194.0000 I ESOP Restricted Stock Units 2022-11-29 4 M 0 450.0000 0.0000 D 2023-11-29 Common Stock 450.0000 450.0000 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 November 18, 2022. RSUs vested 60% on 11/29/2021, 20% on 11/29/2022, and will vest 20% on 11/29/2023. This Form 4 reports the partial vesting of RSUs awarded to the reporting person. /s/ Horace Carter by Jonathan J. Doyle as Attorney-in-Fact 2022-12-01