Filing Details

Accession Number:
0001225208-11-004506
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-02-02 10:07:54
Reporting Period:
2011-02-01
Filing Date:
2011-02-02
Accepted Time:
2011-02-02 10:07:54
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
1182228 K Richard Riess 880 Carillon Parkway
St. Petersburg FL 33716
Executive 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 Acquisiton 2011-02-01 3,750 $24.97 20,141 No 4 M Direct
Common Stock Disposition 2011-02-01 3,750 $36.81 16,391 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (right to buy) Disposition 2011-02-01 3,750 $0.00 3,750 $24.97
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2008-12-01 2012-02-01 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 518 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) $25.28 2015-01-24 25,000 25,000 Direct
Common Stock Employee Stock Option (right to buy) $30.44 2010-11-27 2013-01-27 15,000 15,000 Direct
Common Stock Restricted Stock Units $0.00 2013-12-15 2013-12-15 6,581 6,581 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2015-01-24 25,000 25,000 Direct
2013-01-27 15,000 15,000 Direct
2013-12-15 6,581 6,581 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 $36.81 to $36.8111, 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 January 31, 2011.
  3. Options becoming exercisable - 15,000 on 11/24/2012, 5,000 on 11/24/2013, 5,000 on 11/24/2014
  4. Options currently exercisable - 9,000; Options becoming exercisable - 3,000 on 11/27/2011 and 3,000 on 11/27/2012
  5. Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting.