Filing Details
- Accession Number:
- 0001225208-12-022600
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-07 13:00:12
- Reporting Period:
- 2012-11-05
- Filing Date:
- 2012-11-07
- Accepted Time:
- 2012-11-07 13:00:12
- 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 |
|---|---|---|---|---|---|---|---|
| 1185788 | E Jeffrey Trocin | 880 Carillon Parkway St. Petersburg FL 33716 | Executive Vice President - Rjf | 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 | Disposition | 2012-11-05 | 270 | $0.00 | 113,112 | No | 5 | G | Direct | |
| Common Stock | Disposition | 2012-11-05 | 2,130 | $38.71 | 3,577 | No | 4 | S | Indirect | By daughters |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 4 | S | Indirect | By daughters |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 14,729 | 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 | 2016-01-24 | 25,000 | 25,000 | Direct | |
| Common Stock | Employee Stock Option (right to buy) | $30.44 | 2010-11-27 | 2014-01-27 | 15,000 | 15,000 | Direct |
| Common Stock | Restricted Stock Units | $0.00 | 2013-12-15 | 2013-12-15 | 6,894 | 6,894 | Direct |
| Common Stock | Restricted Stock Units | $0.00 | 2014-12-15 | 2014-12-15 | 7,562 | 7,562 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-01-22 | 25,000 | 25,000 | Direct |
| 2016-01-24 | 25,000 | 25,000 | Direct |
| 2014-01-27 | 15,000 | 15,000 | Direct |
| 2013-12-15 | 6,894 | 6,894 | Direct |
| 2014-12-15 | 7,562 | 7,562 | Direct |
Footnotes
- Gifted stock to a charitable organization.
- These shares were sold in multiple transactions with each transaction sold at the same price of $38.7129 per share. 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 in each transaction.
- Includes number of shares acquired under ESOP through November 5, 2012.
- Options becoming exercisable - 15,000 on 11/22/2014, 5,000 on 11/22/2015 and 5,000 on 11/22/2016
- 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
- Options currently exercisable - 12,000; options becoming exercisable - 3,000 on 1/27/2013
- 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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