Home > Insider Trading > Filing (0001225208-14-004597)

Filing Details

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
1182767	W Dennis Zank	880 Carillon Parkway St. Petersburg FL 33716	Chief Operating Officer	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	2014-02-13	11,148	$50.42	152,374	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	49,535	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	7,910	7,910	Direct
Common Stock	Employee Stock Option (right to buy)	$48.20		2020-11-21	12,500	12,500	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	5,005	5,005	Direct
Common Stock	Restricted Stock Units	$0.00	2016-12-13	2016-12-13	4,095	4,095	Direct
Common Stock	Restricted Stock Units	$0.00	2015-12-14	2015-12-14	5,005	5,005	Direct
Common Stock	Restricted Stock Units	$0.00	2014-12-15	2014-12-15	13,750	13,750	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2017-01-22	25,000	25,000	Direct
2016-01-24	7,910	7,910	Direct
2020-11-21	12,500	12,500	Direct
2019-11-29	12,500	12,500	Direct
2016-03-15	5,005	5,005	Direct
2016-12-13	4,095	4,095	Direct
2015-12-14	5,005	5,005	Direct
2014-12-15	13,750	13,750	Direct

Footnotes

Reflects weighted-average sales price. Shares of common stock were sold in multiple same-way open market sale transactions on the same day through a trade order executed by a broker dealer at prices ranging from $50.05 to $50.56. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person undertakes to provide upon request to the SEC staff, the issuer or its shareowners full information regarding the number of shares sold at each separate price.
Includes number of shares acquired under ESOP through February 12, 2014.
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 - 3,955 on 11/24/2014, 3,955 on 01/24/2015.
The stock option vests 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018.
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, 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%.