Skip to main content

AI assistant

Sign in to chat with this filing

The assistant answers questions, extracts KPIs, and summarises risk factors directly from the filing text.

Raymond James Wealth Management Ltd Director's Dealing 2012

Dec 18, 2012

10792_dirs_2012-12-18_ad01be3c-0242-48c6-8c08-d2fd293d4e0b.zip

Director's Dealing

Open in viewer

Opens in your device viewer

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: RAYMOND JAMES FINANCIAL INC (RJF)
CIK: 0000720005
Period of Report: 2012-12-07

Reporting Person: Matecki Paul (Sr. VP - General Counsel)

Derivative Transactions

Date Security Exercise Price Code Shares A/D Expiration Underlying Ownership
2012-12-07 Restricted Stock Units $ A 391.0000 Acquired 2015-12-07 Common Stock (391.0000) Direct

Holdings (Non-Derivative)

Security Shares Ownership
Common Stock 29032.0000 Direct
Common Stock 8867.0000 Indirect

Holdings (Derivative)

Security Exercise Price Expiration Underlying Shares Ownership
Employee Stock Option (right to buy) $27.1000 2017-01-22 Common Stock (6500.0000) 6500.0000 Direct
Employee Stock Option (right to buy) $25.2800 2015-01-24 Common Stock (5500.0000) 5500.0000 Direct
Employee Stock Option (right to buy) $37.8700 2019-11-29 Common Stock (4000.0000) 4000.0000 Direct
Employee Stock Option (right to buy) $30.4400 2013-01-27 Common Stock (5000.0000) 5000.0000 Direct
Restricted Stock Units $ 2013-12-15 Common Stock (121.0000) 121.0000 Direct
Restricted Stock Units $ 2014-12-15 Common Stock (381.0000) 381.0000 Direct

Footnotes

F1: Includes number of shares acquired under ESOP through December 14, 2012.

F2: Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.

F3: Award of restricted stock units as portion of annual bonus under 2012 Stock Incentive Plan.

F4: The stock option vests 60% on 11/22/2014, 20% on 11/22/2015 and 20% on 11/22/2016.

F5: Options currently exercisable - 3,300; options becoming exercisable - 1,100 on 11/24/2013 and 1,100 on 11/24/2014

F6: The stock option vests 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.