Filing Details
- Accession Number:
- 0001225208-15-007210
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-03-09 12:24:52
- Reporting Period:
- 2015-03-05
- Filing Date:
- 2015-03-09
- Accepted Time:
- 2015-03-09 12:24:52
- 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 |
|---|---|---|---|---|---|---|---|
| 1422342 | M Steven Raney | 880 Carillon Parkway St. Petersburg FL 33716 | President & Ceo Rjbank | 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 | 2015-03-05 | 16,627 | $58.01 | 4,277 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-03-06 | 15,000 | $27.10 | 19,277 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-03-06 | 1,627 | $25.28 | 20,904 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2015-03-06 | 15,000 | $0.00 | 15,000 | $27.10 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2015-03-06 | 1,627 | $0.00 | 1,627 | $25.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,000 | 2017-01-22 | No | 4 | M | Direct | |
| 0 | 2016-01-24 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,227 | Indirect | ESOP |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 4, 2015.
- The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. Price reflects the weighted average sale price. The range of prices for such transaction was $58.00 to $58.06.
- The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 4, 2015.
- The stock option vests 60% on 11/22/2014, 20% on 11/22/2015 and 20% on 11/22/2016.
- Of the 25,000 employee stock options granted on 11/24/2009, 15,000 vested and became exercisable on 11/24/2012, 2,090 on 11/24/2013, 3,955 on 11/24/2014 and 3,955 on 01/24/2015.
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