SEC Form 3
| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 01/01/2022 | 3. Issuer Name and Ticker or Trading Symbol RAYMOND JAMES FINANCIAL INC [ RJF ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
|---|---|---|---|
| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 18,433(1) | D | |
| Common Stock | 1,129(2) | I | ESOP |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
|---|---|---|---|---|---|---|---|
| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Restricted Stock Units | (3) | 11/22/2022 | Common Stock | 360(4) | (5) | D | |
| Restricted Stock Units | (6) | 11/22/2024 | Common Stock | 3,750(7) | (5) | D | |
| Restricted Stock Units | (8) | 11/29/2023 | Common Stock | 900(9) | (5) | D | |
| Restricted Stock Units | (10) | 11/30/2025 | Common Stock | 7,500(11) | (5) | D | |
| Restricted Stock Units | (12) | 11/30/2026 | Common Stock | 6,113 | (5) | D | |
| Restricted Stock Units | 04/15/2022 | 04/15/2022 | Common Stock | 144(13) | (5) | D | |
| Restricted Stock Units | 05/15/2022 | 05/15/2022 | Common Stock | 150(14) | (5) | D | |
| Restricted Stock Units | 07/15/2022 | 07/15/2022 | Common Stock | 446(15) | (5) | D | |
| Restricted Stock Units | 10/15/2022 | 10/15/2022 | Common Stock | 591(16) | (5) | D | |
| Restricted Stock Units | 12/03/2024 | 12/03/2024 | Common Stock | 7,836(17) | (5) | D | |
| Restricted Stock Units | 12/04/2023 | 12/04/2023 | Common Stock | 5,217(18) | (5) | D | |
| Restricted Stock Units | 12/13/2022 | 12/13/2022 | Common Stock | 549(19) | (5) | D | |
| Explanation of Responses: |
| 1. On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's ownership of additional shares of common stock. |
| 2. Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 31, 2021, but was adjusted to reflect the stock split that occurred on Septmber 21, 2021. |
| 3. Of the 1,200 RSUs granted on 11/22/2017, 60% vested on 11/22/2020, 20% vested on 11/22/2021, and 20% will vest on 11/22/2022. |
| 4. The RSU grant of 1,200 shares awarded on November 22, 2017, of which 240 shares remained outstanding, was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. |
| 5. 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. |
| 6. Of the 2,500 RSUs granted on 11/22/2019, 60% will vest on 11/22/2022, 20% will vest on 11/22/2023, and 20% will vest on 11/22/2024. |
| 7. The RSU grant of 2,500 shares awarded on November 22, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. |
| 8. Of the 1,500 RSUs granted on 11/29/2018, 60% vested on 11/29/2021, 20% will vest on 11/29/2022, and 20% will vest on 11/29/2023. |
| 9. The RSU grant of 1500 shares awarded on November 29, 2018, of which 600 shares remained outstanding, was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. |
| 10. Of the 5,000 RSUs granted on 11/23/2020, 60% will vest on 11/30/2023, 20% will vest on 11/30/2024, and 20% will vest on 11/30/2025. |
| 11. The RSU grant of 5,000 shares awarded on November 23, 2020 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. |
| 12. Of the 6,113 RSUs granted on 11/22/2021, 60% will vest on 11/30/2024, 20% will vest on 11/30/2025, and 20% will vest on 11/30/2026. |
| 13. RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 96 shares awarded on April 15, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. |
| 14. RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 100 shares awarded on May 15, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. |
| 15. RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 297 shares awarded on July 15, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. |
| 16. RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 394 shares awarded on October 15, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. |
| 17. RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. |
| 18. RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 3,478 shares awarded on December 4, 2020 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. |
| 19. RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 366 shares awarded on December 13, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. |
| Remarks: |
| carterpoa.txt |
| /s/ Horace Carter by Jonathan J. Doyle as Attorney-in-Fact | 01/10/2022 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||