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
- 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.
- Shares purchased through the Company's ESPP
- 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.
- Includes number of shares acquired under ESOP through September 4, 2012.
- Options becoming exercisable - 1,500 on 11/27/2012
- The stock option vests 60% on 11/22/2014, 20% on 11/22/2015 and 20% on 11/22/2016.
- Options becoming exercisable - 600 on 11/24/2012, 200 on 11/24/2013, 200 on 11/24/2014
- 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
- Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.