Filing Details
- Accession Number:
- 0001225208-16-042869
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-08 13:50:08
- Reporting Period:
- 2016-12-06
- Filing Date:
- 2016-12-08
- Accepted Time:
- 2016-12-08 13:50:08
- 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 | Acquisiton | 2016-12-06 | 3,690 | $27.10 | 26,750 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-12-06 | 1,363 | $73.36 | 25,387 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2016-12-07 | 10,000 | $37.87 | 35,387 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-12-07 | 1,310 | $27.10 | 36,697 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-12-07 | 11,310 | $73.19 | 25,387 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-12-07 | 205 | $0.00 | 25,182 | No | 5 | G | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 5 | G | 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 | 2016-12-06 | 3,690 | $0.00 | 3,690 | $27.10 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2016-12-07 | 1,310 | $0.00 | 1,310 | $27.10 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2016-12-07 | 10,000 | $0.00 | 10,000 | $37.87 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,310 | 2017-01-22 | No | 4 | M | Direct | |
| 0 | 2017-01-22 | No | 4 | M | Direct | |
| 2,500 | 2019-11-29 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,442 | Indirect | ESOP |
Footnotes
- Includes 85 shares of common stock acquired on December 2, 2016, pursuant to the registrant's Employee Stock Purchase Plan.
- 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.
- Reflects the weighted average sale price. The range of prices for such transaction was $73.07 to $73.39.
- Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 17, 2016
- Of the 25,000 employee stock options granted on 11/22/2011, 60% vested on 11/22/2014, 20% on 11/22/2015 and 20% on 11/22/2016.
- Of the 12,500 employee stock options granted on 11/29/ 2012, 60% vested on 11/29/2015, 20% on 11/29/2016, and 20% will vest on 11/29/2017.
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