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Raymond James Wealth Management Ltd — Director's Dealing 2013
Dec 17, 2013
10792_dirs_2013-12-17_0343397e-f733-4816-9b3f-b5e8ad00f694.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: 2013-12-13
Reporting Person: Dowdle Jeffrey A (President, AMS - RJA)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-12-15 | Common Stock | M | 4317.0000 | — | Acquired | 35551.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-12-13 | Restricted Stock Units | $ | A | 2048.0000 | Acquired | 2016-12-13 | Common Stock (2048.0000) | Direct |
| 2013-12-15 | Restricted Stock Units | $ | M | 4317.0000 | Disposed | 2013-12-15 | Common Stock (4317.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1500.0000 | Indirect |
| Common Stock | 7149.0000 | Indirect |
| Common Stock | 900.0000 | Indirect |
| Common Stock | 10000.0000 | Indirect |
| Common Stock | 1500.0000 | Indirect |
| Common Stock | 1500.0000 | Indirect |
| Common Stock | 1500.0000 | Indirect |
| Common Stock | 1500.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $27.1000 | 2017-01-22 | Common Stock (10000.0000) | 10000.0000 | Direct |
| Employee Stock Option (right to buy) | $48.2000 | 2020-11-21 | Common Stock (12500.0000) | 12500.0000 | Direct |
| Employee Stock Option (right to buy) | $25.2800 | 2015-11-24 | Common Stock (8000.0000) | 8000.0000 | Direct |
| Employee Stock Option (right to buy) | $37.8700 | 2019-11-29 | Common Stock (12500.0000) | 12500.0000 | Direct |
| Performance Restricted Stock Units | $ | 2016-03-15 | Common Stock (2269.0000) | 2269.0000 | Direct |
| Restricted Stock Units | $ | 2015-12-14 | Common Stock (2269.0000) | 2269.0000 | Direct |
| Restricted Stock Units | $ | 2014-12-15 | Common Stock (6111.0000) | 6111.0000 | Direct |
Footnotes
F1: Settlement of restricted stock units on the basis of one share of RJF common stock for one restricted stock unit.
F2: The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F3: Includes number of shares acquired under ESOP through December 13, 2013.
F4: The reporting person is the trustee of the Trust and holds a remainder interest therein. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F5: Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents.
F6: Award of restricted stock units as portion of annual bonus under 2012 Stock Incentive Plan.
F7: Options becoming exercisable - 6,000 on 11/22/14, 2,000 on 11/22/15 and 2,000 on 11/22/16.
F8: The stock option vests 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018.
F9: Options currently exercisable - 6,400; options becoming exercisable - 1,600 on 11/24/14.
F10: The stock option vests 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017.
F11: 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, 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%.