4//SEC Filing
RAYMOND JAMES FINANCIAL INC 4
Accession 0001225208-13-023240
$RJFCIK 0000720005operating
Filed
Nov 11, 7:00 PM ET
Accepted
Nov 12, 1:37 PM ET
Size
15.7 KB
Accession
0001225208-13-023240
Insider Transaction Report
Form 4
HELCK CHESTER B
DirectorChief Operating Officer
Transactions
- Gift
Common Stock
2013-11-11−1,000→ 127,574 total
Holdings
- 42,415
Employee Stock Option (right to buy)
Exercise: $35.38Exp: 2017-01-22→ Common Stock (42,415 underlying) - 4,838
Performance Restricted Stock Units
From: 2015-09-30Exp: 2016-03-15→ Common Stock (4,838 underlying) - 9,278(indirect: ESOP)
Common Stock
- 40,791(indirect: By Spouse)
Common Stock
- 25,000
Employee Stock Option (right to buy)
Exercise: $25.28Exp: 2016-01-24→ Common Stock (25,000 underlying) - 12,500
Employee Stock Option (right to buy)
Exercise: $37.87Exp: 2019-11-29→ Common Stock (12,500 underlying) - 9,401
Restricted Stock Units
From: 2013-12-15Exp: 2013-12-15→ Common Stock (9,401 underlying) - 4,838
Restricted Stock Units
From: 2015-12-14Exp: 2015-12-14→ Common Stock (4,838 underlying) - 13,750
Restricted Stock Units
From: 2014-12-15Exp: 2014-12-15→ Common Stock (13,750 underlying)
Footnotes (7)
- [F1]Gifted stock to a charitable organization.
- [F2]Includes number of shares acquired under ESOP through November 11, 2013.
- [F3]Options becoming exercisable - 25,449 on 11/22/2014, 8,483 on 11/22/2015 and 8,483 on 11/22/2016
- [F4]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
- [F5]The stock option vests 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.
- [F6]Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.
- [F7]The vesting of these performance-vesting 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%.
Documents
Issuer
RAYMOND JAMES FINANCIAL INC
CIK 0000720005
Entity typeoperating
IncorporatedFL
Related Parties
1- filerCIK 0000720005
Filing Metadata
- Form type
- 4
- Filed
- Nov 11, 7:00 PM ET
- Accepted
- Nov 12, 1:37 PM ET
- Size
- 15.7 KB