0001225208-23-011195.txt : 20231218 0001225208-23-011195.hdr.sgml : 20231218 20231218132054 ACCESSION NUMBER: 0001225208-23-011195 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231215 FILED AS OF DATE: 20231218 DATE AS OF CHANGE: 20231218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Santelli Jonathan N CENTRAL INDEX KEY: 0001672865 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 231492961 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: SAINT 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] ORGANIZATION NAME: 02 Finance 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 X0508 4 2023-12-15 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001672865 Santelli Jonathan N 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 EVP, Gen Counsel, Secy 0 Common Stock 2023-12-15 4 M 0 1148.0000 0 A 24330.0000 D Common Stock 2023-12-15 4 F 0 451.0000 110.8800 D 23879.0000 D Common Stock 438.0000 I ESOP Restricted Stock Units 2023-12-15 4 A 0 5411.0000 0.0000 A 2028-12-15 Common Stock 5411.0000 5411.0000 D Restricted Stock Units 2023-12-15 4 M 0 1148.0000 0.0000 D 2023-12-15 2023-12-15 Common Stock 1148.0000 0.0000 D Restricted Stock Units 2023-12-15 4 A 0 1860.0000 0.0000 A 2026-12-15 2026-12-15 Common Stock 1860.0000 1860.0000 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 11, 2023. RSUs vest 60% on 12/15/2026, 20% on 12/15/2027, and 20% on 12/15/2028. The RSU grant was previously reported as covering 765 shares awarded on December 15, 2020, 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) the vesting of RSUs awarded to the reporting person on December 15, 2020, (ii) a disposition by the reporting person to the issuer to cover tax liability in connection with such vesting, (iii) a grant of retention RSUs to the reporting person, and (iv) a grant of RSUs as a portion of the annual bonus to the reporting person. /s/ Jonathan N. Santelli by Jonathan J. Doyle as Attorney-in-Fact 2023-12-18