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Raymond James Wealth Management Ltd — Director's Dealing 2011
Jan 24, 2011
10792_dirs_2011-01-24_6dccd507-00f7-47c5-8057-605e9d576997.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: RAYMOND JAMES FINANCIAL INC (RJF)
CIK: 0000720005
Period of Report: 2011-01-20
Reporting Person: AVERITT RICHARD G (CEO - RJFS)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-01-20 | Common Stock | S | 50000.0000 | $34.5027 | Disposed | 175782.0000 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 43338.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $25.2800 | 2016-01-24 | Common Stock (25000.0000) | 25000.0000 | Direct |
| Employee Stock Option (right to buy) | $30.4400 | 2014-01-27 | Common Stock (15000.0000) | 15000.0000 | Direct |
| Employee Stock Option (right to buy) | $24.9733 | 2012-02-01 | Common Stock (15000.0000) | 15000.0000 | Direct |
| Restricted Stock Units | $ | 2013-12-15 | Common Stock (6894.0000) | 6894.0000 | Direct |
Footnotes
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 sales trading plan adopted by the reporting person on June 15, 2010.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.45 to $34.75, 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.
F3: Includes number of shares acquired under ESOP through January 20, 2011.
F4: Options becoming exercisable - 15,000 on 11/24/2012, 2,090 on 11/24/2013, 3,955 on 11/24/2014, 3,955 on 01/24/2015
F5: Options currently exercisable - 9,000; Options becoming exercisable - 208 on 11/27/2011, 2,792 on 1/27/2012 and 3,000 on 1/27/2013
F6: Options currently exercisable - 11,250; Options becoming exercisable - 3,750 on 02/01/2011
F7: Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting.