Home > Insider Trading > Filing (0001225208-13-002297)

Filing Details

Accession Number:: 0001225208-13-002297
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-01-29 11:52:42
Reporting Period:: 2013-01-28

Filing Date:: 2013-01-29
Accepted Time:: 2013-01-29 11:52:42
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
1182753	P Jeffrey Julien	880 Carillon Parkway St. Petersburg FL 33716	Cfo, Executive Vp - Fin	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2013-01-28	11,908	$44.35	21,928	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	2,240	Indirect	By Spouse
Common Stock	504	Indirect	By spouse through ESOP
Common Stock	29,426	Indirect	ESOP

Reported Derivative Holdings

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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)	$37.87		2019-11-29	12,500	12,500	Direct
Common Stock	Employee Stock Option (right to buy)	$30.44	2010-11-27	2014-01-27	15,000	15,000	Direct
Common Stock	Performance Restricted Stock Units	$0.00	2015-09-30	2016-03-15	2,269	2,269	Direct
Common Stock	Restricted Stock Units	$0.00	2015-12-14	2015-12-14	2,269	2,269	Direct
Common Stock	Restricted Stock Units	$0.00	2013-12-15	2013-12-15	3,133	3,133	Direct
Common Stock	Restricted Stock Units	$0.00	2014-12-15	2014-12-15	5,156	5,156	Direct
Common Stock	Employee Stock Option (right to buy)	$27.10		2017-01-22	500	500	Indirect
Common Stock	Employee Stock Option (right to buy)	$28.74		2016-01-23	500	500	Indirect
Common Stock	Employee Stock Option (right to buy)	$25.28		2015-01-24	500	500	Indirect
Common Stock	Employee Stock Option (right to buy)	$37.87		2018-01-29	1,000	1,000	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2017-01-22	25,000	25,000	Direct
2016-01-24	25,000	25,000	Direct
2019-11-29	12,500	12,500	Direct
2014-01-27	15,000	15,000	Direct
2016-03-15	2,269	2,269	Direct
2015-12-14	2,269	2,269	Direct
2013-12-15	3,133	3,133	Direct
2014-12-15	5,156	5,156	Direct
2017-01-22	500	500	Indirect
2016-01-23	500	500	Indirect
2015-01-24	500	500	Indirect
2018-01-29	1,000	1,000	Indirect

Footnotes

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.33 to $44.40, 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 January 24, 2013.
Options becoming exercisable - 15,000 on 11/22/2014, 5,000 on 11/22/2015 and 5,000 on 11/22/2016
Options currently exercisable - 15,000; options becoming exercisable - 2,090 on 11/24/2013, 3,955 on 11/24/2014, 3,955 on 01/24/2015
The stock option vests 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.
Currently exercisable
Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.
The vesting of these performance-vesting RSUs will be determined no later than March 15, 2016 based on the issuer's three-year average after-tax return on equity, on a GAAP basis, for the fiscal years 2013, 2014 and 2015 (the "ROE"), with vesting percentages ranging from zero to 150% of face number of RSUs based on the ROE ranging from less than 6% to equal to or greater than 18%.
The stock option vests 60% on 11/22/2014, 20% on 11/22/2015 and 20% on 11/22/2016.
Options becoming exercisable - 300 on 11/23/2013, 100 on 11/23/2014, 100 on 11/23/2015
Options currently exercisable - 300; options becoming exercisable 100 on 11/24/2013 and 100 on 11/24/2014