UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
February 27, 2017
Date of report (date of earliest event reported)
Raymond James Financial, Inc.
(Exact Name of Registrant as Specified in Its Charter)
Florida
(State or Other Jurisdiction of Incorporation)
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| 1-9109 | | 59-1517485 |
| (Commission File Number) | | (IRS Employer Identification No.) |
880 Carillon Parkway St. Petersburg, FL 33716
(Address of Principal Executive Offices) (Zip Code)
(727) 567-1000
(Registrant’s Telephone Number, Including Area Code)
Not Applicable
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 5.02(e) Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
In connection with the Company’s previously-announced leadership transition, we terminated letter agreements with each of our Chairman Emeritus, Mr. Thomas A. James, and our Chairman and Chief Executive Officer, Mr. Paul C. Reilly, as each such agreement was no longer relevant to such officer’s current role with the Company. The foregoing is qualified in its entirety by reference to the agreement effecting each such termination, copies of which are filed as Exhibits 99.1 and 99.2, respectively, to this Current Report on Form 8-K.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits.
Exhibit No.
99.1 Letter Agreement, dated February 27, 2017, between Raymond James Financial, Inc. and Thomas A. James
99.2 Letter Agreement, dated February 27, 2017, between Raymond James Financial, Inc. and Paul C. Reilly
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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| | | RAYMOND JAMES FINANCIAL, INC. |
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| Date: | February 28, 2017 | By: | /s/ Jeffrey P. Julien |
| | | | Jeffrey P. Julien |
| | | | Executive Vice President - Finance, |
| | | | Chief Financial Officer and Treasurer |
EXHIBIT INDEX
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| Exhibit No. | Description |
| 99.1 | Letter Agreement, dated February 27, 2017, between Raymond James Financial, Inc. and Thomas A. James
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| 99.2 | Letter Agreement, dated February 27, 2017, between Raymond James Financial, Inc. and Paul C. Reilly |
