Filing Details

Accession Number:
0001225208-12-019093
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-09-06 14:25:30
Reporting Period:
2012-09-05
Filing Date:
2012-09-06
Accepted Time:
2012-09-06 13:25:30
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 2012-09-05 6,000 $30.44 20,785 No 4 M Direct
Common Stock Acquisiton 2012-09-05 176 $30.18 20,961 No 5 P Direct
Common Stock Disposition 2012-09-05 6,000 $36.12 14,961 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 5 P 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 2012-09-05 6,000 $0.00 6,000 $30.44
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,500 2010-11-27 2013-01-27 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 970 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) $27.10 2017-01-22 25,000 25,000 Direct
Common Stock Employee Stock Option (right to buy) $25.28 2015-01-24 1,000 1,000 Direct
Common Stock Employee Stock Option (right to buy) $25.28 2016-01-24 25,000 25,000 Direct
Common Stock Restricted Stock Units $0.00 2013-12-15 2013-12-15 391 391 Direct
Common Stock Restricted Stock Units $0.00 2014-12-15 2014-12-15 687 687 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-01-22 25,000 25,000 Direct
2015-01-24 1,000 1,000 Direct
2016-01-24 25,000 25,000 Direct
2013-12-15 391 391 Direct
2014-12-15 687 687 Direct
Footnotes
  1. The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 sales trading plan adopted by the reporting person on May 31, 2012.
  2. Shares purchased through the Company's ESPP
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.10 to $36.13, 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.
  4. Includes number of shares acquired under ESOP through September 4, 2012.
  5. Options becoming exercisable - 1,500 on 11/27/2012
  6. The stock option vests 60% on 11/22/2014, 20% on 11/22/2015 and 20% on 11/22/2016.
  7. Options becoming exercisable - 600 on 11/24/2012, 200 on 11/24/2013, 200 on 11/24/2014
  8. Options becoming exercisable - 15,000 on 11/24/2012, 2,090 on 11/24/2013, 3,955 on 11/24/2014, 3,955 on 01/24/2015
  9. Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.