Raymond James Financial, Inc. (NYSE:RJF) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
(e) On December 14, 2018, Raymond James Financial, Inc. (the “Company”) granted awards of restricted stock units (“RSUs”) under the Company’s Amended and Restated 2012 Stock Incentive Plan to certain of its executive officers as a portion of their annual bonus. A portion of such RSUs vests based on the passage of time (“time-vesting”) and the balance vests, if at all, based on the achievement by the Company of certain average after-tax adjusted return on equity levels over a three-year measurement period (“performance vesting”). The forms of Award Agreement for both time-vesting and performance-vesting awards contain revised restrictive covenants relating to non-competition, non- recruitment, non-solicitation and confidentiality.
Copies of the revised forms of Award Agreement for time-vesting and performance-vesting awards granted to (1) our Chairman and Chief Executive Officer, Mr. Reilly, (2) the Company’s executive officers residing in Canada, and (3) any other executive officer of the Company, are attached to this Current Report as Exhibits 10.1 through 10.6, and are incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits. The following are filed as exhibits to this report:
Exhibit No.
RAYMOND JAMES FINANCIAL INC Exhibit
EX-10.1 2 exhibit101_formreillyrsubo.htm EXHIBIT 10.1 FORM REILLY RSU STOCK BONUS TIME-BASED AWARD AGREEMENT 2018 Exhibit [FORM OF RSU STOCK BONUS TIME-BASED AWARD AND NOTICE AGREEMENT – 2018 RETIREMENT – RESTRICTIVE COVENANTS – MR. PAUL C. REILLY]RAYMOND JAMES FINANCIAL,…
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About Raymond James Financial, Inc. (NYSE:RJF)
Raymond James Financial, Inc. (RJF) is a financial holding company. The Company’s subsidiaries include Raymond James & Associates, Inc. (RJ&A), Raymond James Financial Services, Inc. (RJFS), Raymond James Financial Services Advisors, Inc. (RJFSA), Raymond James Ltd. (RJ Ltd.), Eagle Asset Management, Inc. (Eagle), and Raymond James Bank, N.A. (RJ Bank). It operates through five segments: Private Client Group (PCG), Capital Markets, Asset Management, RJ Bank and the Other segment. The Private Client Group segment includes the retail branches of the Company’s broker-dealer subsidiaries located throughout the United States, Canada and the United Kingdom. The Capital Markets segment includes institutional sales and trading in the United States, Canada and Europe. The Asset Management segment includes the operations of Eagle, the Eagle Family of Funds and other fee-based asset management programs. RJ Bank segment provides corporate loan, securities based loans (SB) and residential loans.