RIESS RICHARD K 4

4 · RAYMOND JAMES FINANCIAL INC · Filed Jan 27, 2011

Form 4

Period: 2011-01-25

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

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