AI assistant
Raymond James Wealth Management Ltd — Director's Dealing 2012
Dec 18, 2012
10792_dirs_2012-12-18_a5fb32e8-81ac-48b4-8e06-89387ba5153d.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: RAYMOND JAMES FINANCIAL INC (RJF)
CIK: 0000720005
Period of Report: 2012-12-14
Reporting Person: HELCK CHESTER B (Director, Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-12-14 | Common Stock | G | 10000.0000 | $0.0000 | Disposed | 148781.0000 | Direct |
| 2012-12-14 | Common Stock | G | 10000.0000 | $0.0000 | Acquired | 40791.0000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-12-14 | Performance Restricted Stock Units | $ | A | 4838.0000 | Acquired | 2016-03-15 | Common Stock (4838.0000) | Direct |
| 2012-12-14 | Restricted Stock Units | $ | A | 4838.0000 | Acquired | 2015-12-14 | Common Stock (4838.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 9053.0000 | 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) | $37.8700 | 2019-11-29 | Common Stock (12500.0000) | 12500.0000 | 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: This transaction involved a gift of securities by the reporting person to his spouse.
F2: Includes number of shares acquired under ESOP through December 14, 2012.
F3: Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.
F4: 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%.
F5: Award of restricted stock units as portion of annual bonus under 2012 Stock Incentive Plan.
F6: Options becoming exercisable - 25,449 on 11/22/2014, 8,483 on 11/22/2015 and 8,483 on 11/22/2016
F7: Options currently exercisable - 15,000; options becoming exercisable - 2,090 on 11/24/2013, 3,955 on 11/24/2014, 3,955 on 01/24/2015
F8: The stock option vests 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.
F9: Options currently exercisable - 12,000; options becoming exercisable - 3,000 on 1/27/2013