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Raymond James Wealth Management Ltd — Director's Dealing 2013
Feb 7, 2013
10792_dirs_2013-02-07_9a4304e0-c372-4e1f-ae2f-c65e6f0520bc.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: 2013-02-06
Reporting Person: TROCIN JEFFREY E (Executive Vice President - RJF)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-02-06 | Common Stock | S | 15638.0000 | $45.1341 | Disposed | 104743.0000 | Direct |
| 2013-02-06 | Common Stock | S | 362.0000 | $45.1341 | Disposed | 3215.0000 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 14796.0000 | 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 | 2016-01-24 | Common Stock (10000.0000) | 10000.0000 | Direct |
| Employee Stock Option (right to buy) | $37.8700 | 2019-11-29 | Common Stock (20000.0000) | 20000.0000 | Direct |
| Employee Stock Option (right to buy) | $30.4400 | 2014-01-27 | Common Stock (3000.0000) | 3000.0000 | Direct |
| Performance Restricted Stock Units | $ | 2016-03-15 | Common Stock (2135.0000) | 2135.0000 | Direct |
| Restricted Stock Units | $ | 2015-12-14 | Common Stock (2136.0000) | 2136.0000 | Direct |
| Restricted Stock Units | $ | 2013-12-15 | Common Stock (6894.0000) | 6894.0000 | Direct |
| Restricted Stock Units | $ | 2014-12-15 | Common Stock (7562.0000) | 7562.0000 | Direct |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.06 to $45.20, inclusive. The reporting person undertakes to provide upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F2: Includes number of shares acquired under ESOP through February 6, 2013.
F3: Options becoming exercisable - 15,000 on 11/22/2014, 5,000 on 11/22/2015 and 5,000 on 11/22/2016
F4: Options becoming exercisable - 2,090 on 11/24/2013, 3,955 on 11/24/2014, 3,955 on 01/24/2015
F5: The stock option vests 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.
F6: Currently exercisable
F7: Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.
F8: The vesting of these performance-vesting 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%.