Filing Details
- Accession Number:
- 0001225208-20-014273
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-04 16:20:10
- Reporting Period:
- 2020-12-02
- Accepted Time:
- 2020-12-04 16:20:10
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 720005 | Raymond James Financial Inc | RJF | Security Brokers, Dealers & Flotation Companies (6211) | 591517485 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1672865 | N Jonathan Santelli | 880 Carillon Parkway St. Petersburg FL 33716 | Evp, Gen Counsel, Secy | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-12-02 | 667 | $0.00 | 6,197 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2020-12-03 | 757 | $94.51 | 5,440 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-12-03 | 2,243 | $94.37 | 3,197 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Acquisiton | 2020-12-03 | 5,000 | $0.00 | 5,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 5,000 | 2025-11-30 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 177 | Indirect | ESOP |
Footnotes
- Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2017.
- The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
- Reflects the weighted average sale price. The range of prices for such transaction was $94.49 to $94.52.
- Reflects the weighted average sale price. The range of prices for such transaction was $94.33 to $94.47.
- Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 26, 2020.
- 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.
- RSUs vest 60% on 11/30/2023, 20% on 11/30/2024, and 20% on 11/30/2025.
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