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4//SEC Filing

RIESS RICHARD K 4

Accession 0001225208-11-003876

CIK 0000720005other
View on SEC.govCompany Profile

Filed

Jan 26, 7:00 PM ET

Accepted

Jan 27, 11:57 AM ET

Size

13.6 KB

Accession

0001225208-11-003876

Insider Transaction Report

Form 4
Period: 2011-01-25
RAYMOND JAMES FINANCIAL INCRJF
RIESS RICHARD K
Executive Vice President
Transactions
  • Exercise/Conversion

    Employee Stock Option (right to buy)

    2011-01-25−11,250→ 3,750 total
    Exercise: $24.97From: 2008-12-01Exp: 2012-02-01→ Common Stock (11,250 underlying)
  • Exercise/Conversion

    Common Stock

    2011-01-25$24.97/sh+11,250$280,950→ 27,641 total
  • Sale

    Common Stock

    2011-01-25$35.67/sh−11,250$401,261→ 16,391 total
Holdings

  • Restricted Stock Units

    From: 2013-12-15Exp: 2013-12-15→ Common Stock (6,581 underlying)
    6,581

  • Employee Stock Option (right to buy)

    Exercise: $25.28Exp: 2015-01-24→ Common Stock (25,000 underlying)
    25,000

  • Common Stock

    (indirect: ESOP)
    518

  • Employee Stock Option (right to buy)

    Exercise: $30.44From: 2010-11-27Exp: 2013-01-27→ Common Stock (15,000 underlying)
    15,000
Footnotes (6)
  • [F1]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.64 to $35.72, 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.
  • [F2]Includes number of shares acquired under ESOP through January 24, 2011.
  • [F3]Options becoming exercisable - 3,750 on 02/01/2011
  • [F4]Options becoming exercisable - 15,000 on 11/24/2012, 5,000 on 11/24/2013, 5,000 on 11/24/2014
  • [F5]Options currently exercisable - 9,000; Options becoming exercisable - 3,000 on 11/27/2011 and 3,000 on 11/27/2012
  • [F6]Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting.

Documents

1 file

Issuer

RAYMOND JAMES FINANCIAL INC

CIK 0000720005

→
Entity typeother

Related Parties

1
  • filerCIK 0001182228

Filing Metadata

Form type
4
Filed
Jan 26, 7:00 PM ET
Accepted
Jan 27, 11:57 AM ET
Size
13.6 KB
View on SEC.gov