Filing Details
- Accession Number:
- 0001225208-11-024581
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-09 10:30:18
- Reporting Period:
- 2011-10-03
- Filing Date:
- 2011-11-09
- Accepted Time:
- 2011-11-09 10:30:18
- 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 |
|---|---|---|---|---|---|---|---|
| 1453440 | D Paul Allison | 880 Carillon Parkway St. Petersburg FL 33716 | Chair, President & Ceo Rj Ltd. | 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 | 2011-10-03 | 7,950 | $24.48 | 18,237 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
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 | 2015-01-24 | 25,000 | 25,000 | Direct | |
| Common Stock | Restricted Stock Units | $0.00 | 2012-09-30 | 2012-09-30 | 7,854 | 7,854 | Direct |
| Common Stock | Restricted Stock Units | $0.00 | 2013-12-10 | 2013-12-10 | 5,039 | 5,039 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2015-01-24 | 25,000 | 25,000 | Direct |
| 2012-09-30 | 7,854 | 7,854 | Direct |
| 2013-12-10 | 5,039 | 5,039 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.47 to $24.51, inclusive. The reporting person undertakes to provide upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- Options becoming exercisable - 15,000 on 11/24/2012, 5,000 on 11/24/2013, 5,000 on 11/24/2014
- Restricted Stock Units ("RSUs") are issued to employees of Raymond James Ltd., the Company's Canadian subsidiary, pursuant to the Company's 2005 Restricted Stock Plan. RSUs are settled in either shares of Company common stock or cash upon vesting.
- Each restricted stock unit represents a contingent right to receive one share of RJF common stock or cash to be determined by the Company's compensation committee upon vesting.
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