Filing Details
- Accession Number:
- 0001225208-12-013901
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-06-06 12:57:12
- Reporting Period:
- 2012-06-04
- Filing Date:
- 2012-06-06
- Accepted Time:
- 2012-06-06 11:57:12
- 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 |
|---|---|---|---|---|---|---|---|
| 1541020 | A Jeffrey Dowdle | 880 Carillon Parkway St. Petersburg FL 33716 | President, Ams - Rja | 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 | 2012-06-04 | 754 | $28.18 | 35,284 | No | 5 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,400 | Indirect | by Daughter ER |
| Common Stock | 6,869 | Indirect | ESOP |
| Common Stock | 10,000 | Indirect | Mary R. Dowdle Trust |
| Common Stock | 1,500 | Indirect | UTMA Custodian for Daughter EC |
| Common Stock | 1,500 | Indirect | UTMA Custodian for Son GT |
| Common Stock | 3,000 | Indirect | UTMA Custodian for Son JA |
| Common Stock | 3,000 | Indirect | UTMA Custodian for Son MS |
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) | $27.10 | 2017-01-22 | 10,000 | 10,000 | Direct | |
| Common Stock | Employee Stock Option (right to buy) | $30.44 | 2013-01-27 | 7,500 | 7,500 | Direct | |
| Common Stock | Employee Stock Option (right to buy) | $25.28 | 2015-11-24 | 8,000 | 8,000 | Direct | |
| Common Stock | Restricted Stock Units | $0.00 | 2013-12-15 | 2013-12-15 | 4,317 | 4,317 | Direct |
| Common Stock | Restricted Stock Units | $0.00 | 2014-12-15 | 2014-12-15 | 6,111 | 6,111 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-01-22 | 10,000 | 10,000 | Direct |
| 2013-01-27 | 7,500 | 7,500 | Direct |
| 2015-11-24 | 8,000 | 8,000 | Direct |
| 2013-12-15 | 4,317 | 4,317 | Direct |
| 2014-12-15 | 6,111 | 6,111 | Direct |
Footnotes
- Shares purchased through the Company's ESPP
- The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- Includes number of shares acquired under ESOP through June 1, 2012
- 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.
- Options becoming exercisable - 6,000 on 11/22/14, 2,000 on 11/22/15 and 2,000 on 11/22/16.
- Options currently exercisable - 4,500; options becoming exercisable - 3,000 on 11/27/2012.
- Options becoming exercisable - 2,400 on 11/24/12, 4,000 on 11/24/13 and 1,600 on 11/24/14.
- Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.
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