Filing Details

Accession Number:
0001225208-11-005617
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-02-14 12:00:00
Reporting Period:
2011-02-10
Filing Date:
2011-02-14
Accepted Time:
2011-02-14 11:10:46
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
Chief Operating Officer 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 2011-02-10 20,000 $38.04 164,588 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 8,502 Indirect ESOP
Common Stock 20,791 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) $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 Employee Stock Option (right to buy) $24.97 2008-12-01 2012-02-01 15,000 15,000 Direct
Common Stock Restricted Stock Units $0.00 2013-12-15 2013-12-15 9,401 9,401 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2016-01-24 25,000 25,000 Direct
2014-01-27 15,000 15,000 Direct
2012-02-01 15,000 15,000 Direct
2013-12-15 9,401 9,401 Direct
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 sales trading plan adopted by the reporting person on December 16, 2010.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.00 to $38.19, 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.
  3. Includes number of shares acquired under ESOP through February 9, 2011.
  4. 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
  5. Options currently exercisable - 9,000; Options becoming exercisable - 208 on 11/27/2011, 2,792 on 1/27/2012 and 3,000 on 1/27/2013
  6. Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting.