Filing Details
- Accession Number:
- 0001225208-13-023845
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-19 10:14:59
- Reporting Period:
- 2013-11-18
- Filing Date:
- 2013-11-19
- Accepted Time:
- 2013-11-19 10:14:59
- 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 |
|---|---|---|---|---|---|---|---|
| 1340350 | George Catanese | 880 Carillon Parkway St. Petersburg FL 33716 | Senior Vice President | 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 | Disposition | 2013-11-13 | 100 | $0.00 | 9,449 | No | 5 | G | Direct | |
| Common Stock | Disposition | 2013-11-18 | 1,680 | $46.98 | 7,769 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,576 | Indirect | ESOP |
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 | 7,500 | 7,500 | Direct | |
| Common Stock | Employee Stock Option (right to buy) | $25.28 | 2015-01-24 | 5,500 | 5,500 | Direct | |
| Common Stock | Employee Stock Option (right to buy) | $37.87 | 2019-11-29 | 4,000 | 4,000 | Direct | |
| Common Stock | Restricted Stock Units | $0.00 | 2015-12-14 | 2015-12-14 | 148 | 148 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-01-22 | 7,500 | 7,500 | Direct |
| 2015-01-24 | 5,500 | 5,500 | Direct |
| 2019-11-29 | 4,000 | 4,000 | Direct |
| 2015-12-14 | 148 | 148 | Direct |
Footnotes
- Gifted stock to a charitable organization.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.9800 to $46.9810, inclusive. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price.
- Includes number of shares acquired under ESOP through November 15, 2013.
- The stock option vests 60% on 11/22/2014, 20% on 11/22/2015 and 20% on 11/22/2016.
- Options currently exercisable - 3,300; options becoming exercisable - 1,100 on 11/24/2013 and 1,100 on 11/24/2014
- The stock option vests 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.
- Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.
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