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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2019-10-30 13:27:37
Reporting Period:
Accepted Time:
2019-10-30 13:27:37
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
720005 Raymond James Financial Inc RJF Security Brokers, Dealers & Flotation Companies (6211) 591517485
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1453440 D Paul Allison 880 Carillon Parkway
St. Petersburg FL 33716
Chair, President & Ceo Rj Ltd. 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 2019-10-28 12,500 $37.87 41,852 No 4 M Direct
Common Stock Disposition 2019-10-28 5,582 $84.80 36,270 No 4 F Direct
Common Stock Disposition 2019-10-29 1,950 $84.50 34,320 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2019-10-28 12,500 $0.00 12,500 $37.87
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2019-11-29 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 9,628 Indirect Rose Allison Holdings Inc.
  1. 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.
  2. Reflects the weighted average sale price. The range of prices for such transaction was $84.46 to $84.54.
  3. A corporation that is wholly owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
  4. The stock option vested 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.