Home > Insider Trading > Filing (0001225208-13-013023)

Filing Details

Accession Number:: 0001225208-13-013023
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-05-23 09:19:58
Reporting Period:: 2013-05-21

Filing Date:: 2013-05-23
Accepted Time:: 2013-05-23 09:19:58
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2013-05-21	4,122	$44.98	30,640	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	1,500	Indirect	by Daughter ER
Common Stock	7,045	Indirect	ESOP
Common Stock	900	Indirect	John R. Dowdle Exempt Marital Trust
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	1,500	Indirect	UTMA Custodian for Son JA
Common Stock	1,500	Indirect	UTMA Custodian for Son MS

Reported Derivative Holdings

Show Other Fields >>

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)	$25.28		2015-11-24	8,000	8,000	Direct
Common Stock	Employee Stock Option (right to buy)	$37.87		2019-11-29	12,500	12,500	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	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
2015-11-24	8,000	8,000	Direct
2019-11-29	12,500	12,500	Direct
2016-03-15	2,269	2,269	Direct
2015-12-14	2,269	2,269	Direct
2013-12-15	4,317	4,317	Direct
2014-12-15	6,111	6,111	Direct

Footnotes

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.97 to $44.99, 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.
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 May 20, 2013.
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 - 2,400; options becoming exercisable - 4,000 on 11/24/13 and 1,600 on 11/24/14.
The stock option vests 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.
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%.