Filing Details
- Accession Number:
- 0001225208-11-021534
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-09-07 15:57:02
- Reporting Period:
- 2011-09-02
- Filing Date:
- 2011-09-07
- Accepted Time:
- 2011-09-07 15:57:02
- 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 | Disposition | 2011-08-26 | 1,000 | $0.00 | 110,052 | No | 5 | G | Direct | |
| Common Stock | Acquisiton | 2011-09-02 | 209 | $23.41 | 110,261 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2011-08-26 | 1,000 | $0.00 | 4,247 | No | 5 | G | Indirect | By daughters |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 4 | P | Direct | |
| No | 5 | G | Indirect | By daughters |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 14,249 | 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) | $25.28 | 2016-01-24 | 25,000 | 25,000 | Direct | |
| Common Stock | Employee Stock Option (right to buy) | $30.44 | 2010-11-27 | 2014-01-27 | 15,000 | 15,000 | Direct |
| Common Stock | Employee Stock Option (right to buy) | $24.97 | 2008-12-01 | 2012-02-01 | 15,000 | 15,000 | Direct |
| Common Stock | Restricted Stock Units | $0.00 | 2013-12-15 | 2013-12-15 | 6,894 | 6,894 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2016-01-24 | 25,000 | 25,000 | Direct |
| 2014-01-27 | 15,000 | 15,000 | Direct |
| 2012-02-01 | 15,000 | 15,000 | Direct |
| 2013-12-15 | 6,894 | 6,894 | Direct |
Footnotes
- This transaction involved gift of securities by the reporting person to one of his daughters, who shares reporting person's household.
- Shares purchased through the Company's ESPP
- Includes number of shares acquired under ESOP through September 1, 2011.
- Options becoming exercisable - 15,000 on 11/24/2012, 2,090 on 11/24/2013, 3,955 on 11/24/2014, 3,955 on 01/24/2015
- Options currently exercisable - 9,000; Options becoming exercisable - 405 on 11/27/2011, 2,595 on 1/27/2012 and 3,000 on 1/27/2013
- Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting.
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