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Raymond James Wealth Management Ltd — Director's Dealing 2012
Dec 10, 2012
10792_dirs_2012-12-10_9b49f6df-2b04-4d4e-ad92-69c8a9e65358.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: Allison Paul D (Chair, President & CEO RJ Ltd.)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-12-07 | Performance Restricted Stock Units | $ | A | 2179.0000 | Acquired | 2016-03-15 | Common Stock (2179.0000) | Direct |
| 2012-12-07 | Restricted Stock Units | $ | A | 2179.0000 | Acquired | 2015-12-07 | Common Stock (2179.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 19761.0000 | Direct |
| Common Stock | 11328.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $27.1000 | 2017-01-22 | Common Stock (25000.0000) | 25000.0000 | Direct |
| Employee Stock Option (right to buy) | $25.2800 | 2015-01-24 | Common Stock (10000.0000) | 10000.0000 | Direct |
| Employee Stock Option (right to buy) | $37.8700 | 2019-11-29 | Common Stock (12500.0000) | 12500.0000 | Direct |
| Restricted Stock Units | $ | 2013-12-10 | Common Stock (5039.0000) | 5039.0000 | Direct |
| Restricted Stock Units | $ | 2014-12-15 | Common Stock (8548.0000) | 8548.0000 | Direct |
Footnotes
F1: Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.
F2: The number of performance-vesting RSUs awarded as a portion of annual bonus under 2012 Stock Incentive Plan. The vesting of these RSUs will be determined no later than March 15, 2016 based on the issuer's three-year average after-tax return on equity, on a GAAP basis, for the fiscal years 2013, 2014 and 2015 (the "ROE"), with vesting percentages ranging from zero to 150% of face number of RSUs based on the ROE ranging from less than 6% to equal to or greater than 18%.
F3: Award of restricted stock units as portion of annual bonus under 2012 Stock Incentive Plan.
F4: Options becoming exercisable - 15,000 on 11/22/2014, 5,000 on 11/22/2015 and 5,000 on 11/22/2016
F5: Options becoming exercisable - 5,000 on 11/24/2013 and 5,000 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.
F7: Each restricted stock unit represents a contingent right to receive one share of RJF common stock or cash to be determined by the Company's compensation committee upon vesting.