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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
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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.