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4//SEC Filing

RAYMOND JAMES FINANCIAL INC 4

Accession 0001225208-12-025522

$RJFCIK 0000720005operating
View on SEC.govCompany Profile

Filed

Dec 17, 7:00 PM ET

Accepted

Dec 18, 11:35 AM ET

Size

19.8 KB

Accession

0001225208-12-025522

Insider Transaction Report

Form 4
Period: 2012-12-14
RAYMOND JAMES FINANCIAL INCRJF
HELCK CHESTER B
DirectorChief Operating Officer
Transactions
  • Gift

    Common Stock

    2012-12-14−10,000→ 148,781 total
  • Award

    Restricted Stock Units

    2012-12-14+4,838→ 4,838 total
    From: 2015-12-14Exp: 2015-12-14→ Common Stock (4,838 underlying)
  • Award

    Performance Restricted Stock Units

    2012-12-14+4,838→ 4,838 total
    From: 2015-09-30Exp: 2016-03-15→ Common Stock (4,838 underlying)
  • Gift

    Common Stock

    2012-12-14+10,000→ 40,791 total(indirect: By Spouse)
Holdings

  • Restricted Stock Units

    From: 2014-12-15Exp: 2014-12-15→ Common Stock (13,750 underlying)
    13,750

  • Employee Stock Option (right to buy)

    Exercise: $25.28Exp: 2016-01-24→ Common Stock (25,000 underlying)
    25,000

  • Employee Stock Option (right to buy)

    Exercise: $30.44From: 2010-11-27Exp: 2014-01-27→ Common Stock (15,000 underlying)
    15,000

  • Common Stock

    (indirect: ESOP)
    9,053

  • Employee Stock Option (right to buy)

    Exercise: $35.38Exp: 2017-01-22→ Common Stock (42,415 underlying)
    42,415

  • Employee Stock Option (right to buy)

    Exercise: $37.87Exp: 2019-11-29→ Common Stock (12,500 underlying)
    12,500

  • Restricted Stock Units

    From: 2013-12-15Exp: 2013-12-15→ Common Stock (9,401 underlying)
    9,401
Footnotes (9)
  • [F1]This transaction involved a gift of securities by the reporting person to his spouse.
  • [F2]Includes number of shares acquired under ESOP through December 14, 2012.
  • [F3]Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.
  • [F4]The number of performance-vesting RSUs awarded as a portion of annual bonus under 2012 Stock Incentive Plan. The vesting of these RSUs will be determined no later than March 15, 2016 based on the issuer's three-year average after-tax return on equity, on a GAAP basis, for the fiscal years 2013, 2014 and 2015 (the "ROE"), with vesting percentages ranging from zero to 150% of face number of RSUs based on the ROE ranging from less than 6% to equal to or greater than 18%.
  • [F5]Award of restricted stock units as portion of annual bonus under 2012 Stock Incentive Plan.
  • [F6]Options becoming exercisable - 25,449 on 11/22/2014, 8,483 on 11/22/2015 and 8,483 on 11/22/2016
  • [F7]Options currently exercisable - 15,000; options becoming exercisable - 2,090 on 11/24/2013, 3,955 on 11/24/2014, 3,955 on 01/24/2015
  • [F8]The stock option vests 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.
  • [F9]Options currently exercisable - 12,000; options becoming exercisable - 3,000 on 1/27/2013

Documents

1 file

Issuer

RAYMOND JAMES FINANCIAL INC

CIK 0000720005

→
Entity typeoperating
IncorporatedFL

Related Parties

1
  • filerCIK 0000720005

Filing Metadata

Form type
4
Filed
Dec 17, 7:00 PM ET
Accepted
Dec 18, 11:35 AM ET
Size
19.8 KB
View on SEC.gov