Filing Details

Accession Number:
0001225208-13-024278
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-26 15:12:02
Reporting Period:
2013-11-25
Filing Date:
2013-11-26
Accepted Time:
2013-11-26 15:12:02
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
1182226 B Chester Helck 880 Carillon Parkway
St. Petersburg FL 33716
Executive Vice President Yes 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 2013-11-25 25,000 $48.30 102,574 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 9,278 Indirect ESOP
Common Stock 40,791 Indirect Spouse
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) $35.38 2017-01-22 42,415 42,415 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) $37.87 2019-11-29 12,500 12,500 Direct
Common Stock Performance Restricted Stock Units $0.00 2015-09-30 2016-03-15 4,838 4,838 Direct
Common Stock Restricted Stock Units $0.00 2015-12-14 2015-12-14 4,838 4,838 Direct
Common Stock Restricted Stock Units $0.00 2013-12-15 2013-12-15 9,401 9,401 Direct
Common Stock Restricted Stock Units $0.00 2014-12-15 2014-12-15 13,750 13,750 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-01-22 42,415 42,415 Direct
2016-01-24 25,000 25,000 Direct
2019-11-29 12,500 12,500 Direct
2016-03-15 4,838 4,838 Direct
2015-12-14 4,838 4,838 Direct
2013-12-15 9,401 9,401 Direct
2014-12-15 13,750 13,750 Direct
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.2600 to $48.4200, 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.
  2. Includes number of shares acquired under ESOP through November 21, 2013.
  3. Options becoming exercisable - 25,449 on 11/22/2014, 8,483 on 11/22/2015 and 8,483 on 11/22/2016
  4. Options currently exercisable - 17,090; options becoming exercisable - 3,955 on 11/24/2014, 3,955 on 01/24/2015.
  5. The stock option vests 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.
  6. Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.
  7. 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%.