Filing Details

Accession Number:
0001225208-11-023643
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-10-25 17:02:31
Reporting Period:
2011-10-24
Filing Date:
2011-10-25
Accepted Time:
2011-10-25 17:02:31
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
1182775 A Thomas James 880 Carillon Parkway
St. Petersburg FL 33716
Executive Chairman Yes Yes Yes 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 2011-06-06 20,000 $0.00 13,299,762 No 5 G Direct
Common Stock Disposition 2011-06-06 80,000 $0.00 175,893 No 5 G Indirect Helen W. James Trust
Common Stock Disposition 2011-10-24 1,000 $30.90 123,131 No 4 S Indirect James' Grandchildren's Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 G Direct
No 5 G Indirect Helen W. James Trust
No 4 S Indirect James' Grandchildren's Trust
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,056,889 Indirect ESOP
Common Stock 7,566,030 Indirect Robert A. James Trust
Common Stock 48,087 Indirect Spouse
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Restricted Stock Units $0.00 2013-12-15 2013-12-15 11,908 11,908 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2013-12-15 11,908 11,908 Direct
Footnotes
  1. Reporting person received shares from the family annuity trust as reported on this Form 4.
  2. The amount of securities reflect an aggregate of four equal gifts to beneficiaries under the Trust, including the reporting person.
  3. The reporting person is the trustee of the Trust and holds a remainder interest therein. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
  4. The reporting person is the trustee of the Trust. These securities are held in the Trust for the benefit of the grandchildren of the reporting person's father. 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.
  5. Includes number of shares acquired under ESOP through September 30, 2011.
  6. The reporting person is the trustee of the Trust. 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.
  7. Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting.