AI assistant
Raymond James Wealth Management Ltd — Director's Dealing 2012
Oct 29, 2012
10792_dirs_2012-10-29_ff9d2bf6-c6c4-43e3-8fa3-f597db4c397b.zip
Director's Dealing
Open in viewerOpens in your device viewer
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: JAMES THOMAS A (Director, Executive Chairman, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-08-28 | Common Stock | G | 47973.0000 | $0.0000 | Disposed | 13239762.0000 | Direct |
| 2012-08-31 | Common Stock | G | 38000.0000 | $0.0000 | Disposed | 13201762.0000 | Direct |
| 2012-05-25 | Common Stock | G | 5215522.0000 | $0.0000 | Disposed | 1325508.0000 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1057064.0000 | Indirect |
| Common Stock | 711305.0000 | Indirect |
| Common Stock | 121931.0000 | Indirect |
| Common Stock | 48087.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | 2013-12-15 | Common Stock (11908.0000) | 11908.0000 | Direct |
| Restricted Stock Units | $ | 2014-12-15 | Common Stock (10312.0000) | 10312.0000 | Direct |
Footnotes
F1: Gifted stock to a charitable organization.
F2: The amount of securities reflect an aggregate of five gifts to beneficiaries under the Trust.
F3: The reporting person is the trustee of the Trust. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F4: Includes number of shares acquired under ESOP through September 30, 2012.
F5: The reporting person became the beneficial owner of these shares as a result of becoming the successor trustee on September 26, 2011 under the Helen James Minck Trust U/A DTD February 4, 1960, as further Amended and Restated on April 9, 2009. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F6: The reporting person is the trustee of the Trust. These securities are held in the Trust for the benefit of the grandchildren of the reporting person's father. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F7: Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.