4//SEC Filing
RIESS RICHARD K 4
Accession 0001225208-11-004506
CIK 0000720005other
Filed
Feb 1, 7:00 PM ET
Accepted
Feb 2, 10:07 AM ET
Size
13.5 KB
Accession
0001225208-11-004506
Insider Transaction Report
Form 4
RIESS RICHARD K
Executive Vice President
Transactions
- Exercise/Conversion
Common Stock
2011-02-01$24.97/sh+3,750$93,650→ 20,141 total - Sale
Common Stock
2011-02-01$36.81/sh−3,750$138,039→ 16,391 total - Exercise/Conversion
Employee Stock Option (right to buy)
2011-02-01−3,750→ 0 totalExercise: $24.97From: 2008-12-01Exp: 2012-02-01→ Common Stock (3,750 underlying)
Holdings
- 518(indirect: ESOP)
Common Stock
- 25,000
Employee Stock Option (right to buy)
Exercise: $25.28Exp: 2015-01-24→ Common Stock (25,000 underlying) - 15,000
Employee Stock Option (right to buy)
Exercise: $30.44From: 2010-11-27Exp: 2013-01-27→ Common Stock (15,000 underlying) - 6,581
Restricted Stock Units
From: 2013-12-15Exp: 2013-12-15→ Common Stock (6,581 underlying)
Footnotes (5)
- [F1]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.81 to $36.8111, 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 31, 2011.
- [F3]Options becoming exercisable - 15,000 on 11/24/2012, 5,000 on 11/24/2013, 5,000 on 11/24/2014
- [F4]Options currently exercisable - 9,000; Options becoming exercisable - 3,000 on 11/27/2011 and 3,000 on 11/27/2012
- [F5]Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting.
Documents
Issuer
RAYMOND JAMES FINANCIAL INC
CIK 0000720005
Entity typeother
Related Parties
1- filerCIK 0001182228
Filing Metadata
- Form type
- 4
- Filed
- Feb 1, 7:00 PM ET
- Accepted
- Feb 2, 10:07 AM ET
- Size
- 13.5 KB