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4//SEC Filing

RAYMOND JAMES FINANCIAL INC 4

Accession 0001225208-13-025526

$RJFCIK 0000720005operating
View on SEC.govCompany Profile

Filed

Dec 16, 7:00 PM ET

Accepted

Dec 17, 12:20 PM ET

Size

19.1 KB

Accession

0001225208-13-025526

Insider Transaction Report

Form 4
Period: 2013-12-13
RAYMOND JAMES FINANCIAL INCRJF
Matecki Paul
Sr. VP - General Counsel
Transactions
  • Exercise/Conversion

    Common Stock

    2013-12-15+121→ 29,917 total
  • Gift

    Common Stock

    2013-11-26−525→ 29,796 total
  • Award

    Restricted Stock Units

    2013-12-13+341→ 341 total
    From: 2016-12-13Exp: 2016-12-13→ Common Stock (341 underlying)
  • Exercise/Conversion

    Restricted Stock Units

    2013-12-15−121→ 0 total
    From: 2013-12-15Exp: 2013-12-15→ Common Stock (121 underlying)
Holdings

  • Restricted Stock Units

    From: 2014-12-15Exp: 2014-12-15→ Common Stock (381 underlying)
    381

  • Common Stock

    (indirect: ESOP)
    4,044

  • Employee Stock Option (right to buy)

    Exercise: $37.87Exp: 2019-11-29→ Common Stock (4,000 underlying)
    4,000

  • Restricted Stock Units

    From: 2015-12-07Exp: 2015-12-07→ Common Stock (391 underlying)
    391

  • Employee Stock Option (right to buy)

    Exercise: $27.10Exp: 2017-01-22→ Common Stock (6,500 underlying)
    6,500

  • Employee Stock Option (right to buy)

    Exercise: $25.28Exp: 2015-01-24→ Common Stock (5,500 underlying)
    5,500

  • Employee Stock Option (right to buy)

    Exercise: $48.20Exp: 2020-11-21→ Common Stock (3,500 underlying)
    3,500
Footnotes (9)
  • [F1]Gifted stock to a charitable organization.
  • [F2]Settlement of restricted stock units on the basis of one share of RJF common stock for one restricted stock unit.
  • [F3]Includes number of shares acquired under ESOP through December 13, 2013.
  • [F4]Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.
  • [F5]Award of restricted stock units as portion of annual bonus under 2012 Stock Incentive Plan.
  • [F6]The stock option vests 60% on 11/22/2014, 20% on 11/22/2015 and 20% on 11/22/2016.
  • [F7]Options currently exercisable - 4,400; options becoming exercisable - 1,100 on 11/24/2014.
  • [F8]The stock option vests 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018.
  • [F9]The stock option vests 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.

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 16, 7:00 PM ET
Accepted
Dec 17, 12:20 PM ET
Size
19.1 KB
View on SEC.gov