Filing Details
- Accession Number:
- 0001225208-17-017644
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-22 17:13:22
- Reporting Period:
- 2017-11-21
- Accepted Time:
- 2017-11-22 17:13:22
- 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 |
|---|---|---|---|---|---|---|---|
| 1340350 | George Catanese | 880 Carillon Parkway St. Petersburg FL 33716 | Svp, Chief Risk 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 | Acquisiton | 2017-11-21 | 2,000 | $0.00 | 6,678 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-11-21 | 2,000 | $85.63 | 4,678 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2017-11-21 | 2,000 | $0.00 | 2,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,000 | 2018-11-21 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,096 | Indirect | ESOP |
Footnotes
- Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of RJF common stock, and (ii) accrued cash in lieu of dividends.
- 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 $85.62 to $85.67.
- Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 20, 2017.
- The restricted stock units vested 60% on 11/21/2016 and 20% on 11/21/2017, and will vest 20% on 11/21/2018.
Billionaire Hedge Funds
