Filing Details
- Accession Number:
- 0001225208-13-013934
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-06-05 14:46:47
- Reporting Period:
- 2013-06-04
- Filing Date:
- 2013-06-05
- Accepted Time:
- 2013-06-05 14:46:47
- 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 | Acquisiton | 2013-06-04 | 132 | $36.97 | 105,949 | No | 5 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 5 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 3,215 | Indirect | By daughters |
Common Stock | 14,887 | 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 | 10,000 | 10,000 | Direct | |
Common Stock | Employee Stock Option (right to buy) | $37.87 | 2019-11-29 | 20,000 | 20,000 | Direct | |
Common Stock | Performance Restricted Stock Units | $0.00 | 2015-09-30 | 2016-03-15 | 2,135 | 2,135 | Direct |
Common Stock | Restricted Stock Units | $0.00 | 2015-12-14 | 2015-12-14 | 2,136 | 2,136 | 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 | 10,000 | 10,000 | Direct |
2019-11-29 | 20,000 | 20,000 | Direct |
2016-03-15 | 2,135 | 2,135 | Direct |
2015-12-14 | 2,136 | 2,136 | Direct |
2013-12-15 | 6,894 | 6,894 | Direct |
2014-12-15 | 7,562 | 7,562 | Direct |
Footnotes
- Shares purchased through the Company's ESPP
- Includes number of shares acquired under ESOP through June 4, 2013.
- 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 - 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.
- 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%.