Filing Details
- Accession Number:
- 0001225208-17-017977
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-12-01 16:16:03
- Reporting Period:
- 2017-11-29
- Accepted Time:
- 2017-12-01 16:16:03
- 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 |
|---|---|---|---|---|---|---|---|
| 1422342 | M Steven Raney | 880 Carillon Parkway St. Petersburg FL 33716 | President & Ceo Rjbank | 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 | 2017-11-29 | 822 | $0.00 | 26,962 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2017-11-30 | 7,500 | $55.49 | 34,462 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-11-30 | 2,500 | $48.20 | 36,962 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-11-30 | 2,500 | $37.87 | 39,462 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-11-30 | 1,072 | $88.30 | 38,390 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2017-11-30 | 9,890 | $88.95 | 28,500 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | 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 | 2017-11-30 | 7,500 | $0.00 | 7,500 | $55.49 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2017-11-30 | 2,500 | $0.00 | 2,500 | $48.20 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2017-11-30 | 2,500 | $0.00 | 2,500 | $37.87 |
| Common Stock | Restricted Stock Units | Acquisiton | 2017-11-30 | 5,000 | $0.00 | 5,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 5,000 | 2021-11-20 | No | 4 | M | Direct | |
| 2,500 | 2020-11-21 | No | 4 | M | Direct | |
| 0 | 2019-11-29 | No | 4 | M | Direct | |
| 5,000 | 2022-11-30 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,524 | Indirect | ESOP |
Footnotes
- Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2014.
- Includes 77 shares of common stock acquired on March 2, 2017, 85 shares of common stock acquired on June 2, 2017, and 79 shares of common stock acquired on September 5, 2017, pursuant to the registrant's Employee Stock Purchase Plan.
- The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
- Reflects the weighted average sale price. The range of prices for such transaction was $88.90 to $89.05.
- Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 28, 2017.
- On November 20, 2014, the reporting person received a grant of 12,500 stock options. Stock options vested 60% on 11/20/2017, and will vest 20% on 11/20/2018, and 20% on 11/20/2019.
- The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and will vest 20% on 11/21/2018.
- The stock option vested 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.
- Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.
- RSUs vest 60% on 11/30/2020, 20% on 11/30/2021, and 20% on 11/30/2022.
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