Filing Details

Accession Number:
0001225208-13-019125
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-09-05 10:55:05
Reporting Period:
2013-09-04
Filing Date:
2013-09-05
Accepted Time:
2013-09-05 10:55:05
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
1541020 A Jeffrey Dowdle 880 Carillon Parkway
St. Petersburg FL 33716
President, Ams - Rja 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 2013-09-04 594 $35.72 31,234 No 5 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,500 Indirect by Daughter ER
Common Stock 7,115 Indirect ESOP
Common Stock 900 Indirect John R. Dowdle Exempt Marital Trust
Common Stock 10,000 Indirect Mary R. Dowdle Trust
Common Stock 1,500 Indirect UTMA Custodian for Daughter EC
Common Stock 1,500 Indirect UTMA Custodian for Son GT
Common Stock 1,500 Indirect UTMA Custodian for Son JA
Common Stock 1,500 Indirect UTMA Custodian for Son MS
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Employee Stock Option (right to buy) $27.10 2017-01-22 10,000 10,000 Direct
Common Stock Employee Stock Option (right to buy) $25.28 2015-11-24 8,000 8,000 Direct
Common Stock Employee Stock Option (right to buy) $37.87 2019-11-29 12,500 12,500 Direct
Common Stock Performance Restricted Stock Units $0.00 2015-09-30 2016-03-15 2,269 2,269 Direct
Common Stock Restricted Stock Units $0.00 2015-12-14 2015-12-14 2,269 2,269 Direct
Common Stock Restricted Stock Units $0.00 2013-12-15 2013-12-15 4,317 4,317 Direct
Common Stock Restricted Stock Units $0.00 2014-12-15 2014-12-15 6,111 6,111 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-01-22 10,000 10,000 Direct
2015-11-24 8,000 8,000 Direct
2019-11-29 12,500 12,500 Direct
2016-03-15 2,269 2,269 Direct
2015-12-14 2,269 2,269 Direct
2013-12-15 4,317 4,317 Direct
2014-12-15 6,111 6,111 Direct
Footnotes
  1. Shares purchased through the Company's ESPP
  2. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
  3. Includes number of shares acquired under ESOP through September 3, 2013.
  4. The reporting person is the trustee of the Trust and holds a remainder interest therein. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
  5. Options becoming exercisable - 6,000 on 11/22/14, 2,000 on 11/22/15 and 2,000 on 11/22/16.
  6. Options currently exercisable - 2,400; options becoming exercisable - 4,000 on 11/24/13 and 1,600 on 11/24/14.
  7. The stock option vests 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.
  8. Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.
  9. The vesting of these performance-vesting RSUs will be determined no later than March 15, 2016 based on the issuer's three-year average after-tax return on equity, on a GAAP basis, for the fiscal years 2013, 2014 and 2015 (the "ROE"), with vesting percentages ranging from zero to 150% of face number of RSUs based on the ROE ranging from less than 6% to equal to or greater than 18%.