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Raymond James Wealth Management Ltd — Director's Dealing 2012
Oct 23, 2012
10792_dirs_2012-10-23_0c6365ff-e7df-45a4-9991-04578fa05449.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: RAYMOND JAMES FINANCIAL INC (RJF)
CIK: 0000720005
Period of Report: 2012-09-30
Reporting Person: HELCK CHESTER B (Director, Executive Vice President)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 158781.0000 | Direct |
| Common Stock | 9021.0000 | Indirect |
| Common Stock | 30791.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $35.3800 | 2017-01-22 | Common Stock (42415.0000) | 42415.0000 | Direct |
| 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 |
| Restricted Stock Units | $ | 2013-12-15 | Common Stock (9401.0000) | 9401.0000 | Direct |
| Restricted Stock Units | $ | 2014-12-15 | Common Stock (13750.0000) | 13750.0000 | Direct |
Footnotes
F1: Includes number of shares acquired under ESOP through September 30, 2012.
F2: Options becoming exercisable - 25,449 on 11/22/2014, 8,483 on 11/22/2015 and 8,483 on 11/22/2016
F3: 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
F4: Options currently exercisable - 12,000; options becoming exercisable - 3,000 on 1/27/2013
F5: Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.