SEC Contract Filing

Filing Date: 2018-02-08

Document Content:
<DOCUMENT>
<TYPE>EX-10.4
<SEQUENCE>5
<FILENAME>ex104_rjcanadiantimebaseds.htm
<DESCRIPTION>EXHIBIT 10.4 RSU STOCK BONUS TIME-BASED CANADIAN AWARD AGREEMENT
<TEXT>
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<div><a name="sFB06522F55C1C6183DD86CBF0C0A6718"></a></div><div><div style="line-height:120%;text-align:left;font-size:9pt;"><font style="font-family:inherit;font-size:9pt;">EXHIBIT 10.4 RSU STOCK BONUS TIME-BASED CANADIAN AWARD AGREEMENT</font></div><div style="line-height:120%;font-size:9pt;"><font style="font-family:inherit;font-size:9pt;"><br></font></div></div><div><br></div><div style="line-height:120%;padding-bottom:16px;text-align:center;font-size:11pt;"><font style="font-family:inherit;font-size:11pt;font-weight:bold;">[FORM OF RESTRICTED STOCK UNIT AWARD NOTICE AND AGREEMENT FOR STOCK BONUS AWARD (TIME-BASED VESTING) FOR CANADIAN EMPLOYEES &#8211; REVISED AND APPROVED ON MAY&#160;17,&#160;2017]</font></div><div style="line-height:120%;padding-bottom:16px;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">RAYMOND JAMES FINANCIAL, INC.</font></div><div style="line-height:120%;padding-bottom:16px;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">2012 STOCK INCENTIVE PLAN</font></div><div style="line-height:120%;padding-bottom:16px;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;text-decoration:underline;">NOTICE OF RESTRICTED STOCK UNIT AWARD</font></div><div style="line-height:120%;padding-bottom:8px;text-align:left;padding-left:48px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">Grantee&#8217;s Name and Address:</font></div><div style="line-height:120%;padding-bottom:8px;text-align:left;padding-left:48px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">Name</font></div><div style="line-height:120%;padding-bottom:8px;text-align:left;padding-left:48px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">Address</font></div><div style="line-height:120%;padding-bottom:8px;text-align:left;padding-left:48px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;padding-bottom:8px;text-align:left;padding-left:48px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">You (the &#8220;Grantee&#8221;) have been granted an award of Restricted Stock Units (the &#8220;Award&#8221;), subject to the terms and conditions of this Notice of Restricted Stock Unit Award (the &#8220;Notice&#8221;), the Raymond James Financial, Inc. 2012 Stock Incentive Plan, as amended from time to time (the &#8220;Plan&#8221;) and the Restricted Stock Unit Agreement (the &#8220;Agreement&#8221;) attached hereto, as follows. Unless otherwise provided herein, the terms in this Notice shall have the same meaning as those defined in the Plan. </font></div><div style="line-height:120%;padding-bottom:8px;text-align:left;padding-left:48px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">Date of Award &#160;&#160;&#160;&#160;</font></div><div style="line-height:120%;padding-bottom:8px;text-align:left;padding-left:48px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">Vesting Commencement Date &#160;&#160;&#160;&#160;</font></div><div style="line-height:120%;padding-bottom:8px;text-align:left;padding-left:48px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">Total Number of Restricted Stock <br>Units Awarded (the &#8220;Units&#8221;)&#160;&#160;&#160;&#160;</font></div><div style="line-height:120%;padding-bottom:16px;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;text-decoration:underline;">Restricted Period</font><font style="font-family:inherit;font-size:12pt;">:</font></div><div style="line-height:120%;padding-bottom:16px;text-align:left;text-indent:48px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">Provided that the Grantee does not incur a Separation from Service and subject to other limitations set forth in this Notice, the Agreement and the Plan, the Units will &#8220;vest&#8221; in accordance with the following schedule (the &#8220;Restricted Period&#8221;):</font></div><div style="line-height:120%;padding-bottom:8px;text-align:left;text-indent:48px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">100% after 3 years.</font></div><div style="line-height:120%;padding-bottom:8px;text-align:left;text-indent:48px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">Notwithstanding the Plan definition of &#8220;Separation from Service,&#8221; the Grantee will also be deemed to incur a Separation from Service, and the then unvested Units shall be immediately forfeited, upon the Grantee&#8217;s change in status from Employee to Independent Contractor, or vice versa, for any reason prior to the Grantee&#8217;s attaining eligibility for Retirement.</font></div><div style="line-height:120%;padding-bottom:8px;text-align:left;text-indent:48px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">In addition, the Award shall be subject to the following accelerated vesting provisions:</font></div><table cellpadding="0" cellspacing="0" style="padding-bottom:8px;font-family:Times New Roman; font-size:10pt;"><tr><td style="width:96px;"></td><td></td></tr><tr><td style="vertical-align:top"><div style="line-height:120%;font-size:12pt;padding-left:72px;"><font style="font-family:inherit;font-size:12pt;">&#8226;</font></div></td><td style="vertical-align:top;"><div style="line-height:120%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-