Filing Details
- Accession Number:
- 0001225208-11-024604
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-09 16:07:25
- Reporting Period:
- 2011-11-08
- Filing Date:
- 2011-11-09
- Accepted Time:
- 2011-11-09 16:07:25
- 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 |
---|---|---|---|---|---|---|---|
1182775 | A Thomas James | 880 Carillon Parkway St. Petersburg FL 33716 | Executive Chairman | Yes | Yes | Yes | 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 | 2011-11-08 | 25,000 | $31.30 | 7,541,030 | No | 4 | S | Indirect | Robert A. James Trust |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | Robert A. James Trust |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 13,283,762 | Direct | |
Common Stock | 1,056,889 | Indirect | ESOP |
Common Stock | 175,893 | Indirect | Helen W. James Trust |
Common Stock | 123,131 | Indirect | James' Grandchildren's Trust |
Common Stock | 48,087 | Indirect | Spouse |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Restricted Stock Units | $0.00 | 2013-12-15 | 2013-12-15 | 11,908 | 11,908 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2013-12-15 | 11,908 | 11,908 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.25 to $31.35, 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.
- The reporting person is the trustee of the Trust. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- Includes number of shares acquired under ESOP through November 8, 2011.
- The reporting person is the trustee of the Trust and holds a remainder interest therein. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
- The reporting person is the trustee of the Trust. These securities are held in the Trust for the benefit of the grandchildren of the reporting person's father. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting.