Filing Details

Accession Number:
0001225208-12-022600
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-11-07 13:00:12
Reporting Period:
2012-11-05
Filing Date:
2012-11-07
Accepted Time:
2012-11-07 13:00:12
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
1185788 E Jeffrey Trocin 880 Carillon Parkway
St. Petersburg FL 33716
Executive Vice President - Rjf 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 2012-11-05 270 $0.00 113,112 No 5 G Direct
Common Stock Disposition 2012-11-05 2,130 $38.71 3,577 No 4 S Indirect By daughters
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 G Direct
No 4 S Indirect By daughters
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 14,729 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 25,000 25,000 Direct
Common Stock Employee Stock Option (right to buy) $25.28 2016-01-24 25,000 25,000 Direct
Common Stock Employee Stock Option (right to buy) $30.44 2010-11-27 2014-01-27 15,000 15,000 Direct
Common Stock Restricted Stock Units $0.00 2013-12-15 2013-12-15 6,894 6,894 Direct
Common Stock Restricted Stock Units $0.00 2014-12-15 2014-12-15 7,562 7,562 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-01-22 25,000 25,000 Direct
2016-01-24 25,000 25,000 Direct
2014-01-27 15,000 15,000 Direct
2013-12-15 6,894 6,894 Direct
2014-12-15 7,562 7,562 Direct
Footnotes
  1. Gifted stock to a charitable organization.
  2. These shares were sold in multiple transactions with each transaction sold at the same price of $38.7129 per share. 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 in each transaction.
  3. Includes number of shares acquired under ESOP through November 5, 2012.
  4. Options becoming exercisable - 15,000 on 11/22/2014, 5,000 on 11/22/2015 and 5,000 on 11/22/2016
  5. Options becoming exercisable - 15,000 on 11/24/2012, 2,090 on 11/24/2013, 3,955 on 11/24/2014, 3,955 on 01/24/2015
  6. Options currently exercisable - 12,000; options becoming exercisable - 3,000 on 1/27/2013
  7. Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.