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Raymond James Wealth Management Ltd — Director's Dealing 2017
Oct 6, 2017
10792_dirs_2017-10-06_9972e05d-ec08-42c2-9de2-022b8609c9a2.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: RAYMOND JAMES FINANCIAL INC (RJF)
CIK: 0000720005
Period of Report: 2017-10-01
Reporting Person: Bunn James E (Co-Pres-GlobEq&Inv Banking-RJA)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 880.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $37.8700 | 2019-11-29 | Common Stock (500.0000) | Direct | |
| Employee Stock Option (right to buy) | $48.2000 | 2020-11-21 | Common Stock (3197.0000) | Direct | |
| Employee Stock Option (right to buy) | $55.4900 | 2021-11-20 | Common Stock (5000.0000) | Direct | |
| Restricted Stock Units | $ | 2020-11-19 | Common Stock (1400.0000) | Direct | |
| Restricted Stock Units | $ | 2018-11-21 | Common Stock (2000.0000) | Direct | |
| Restricted Stock Units | $ | 2021-11-30 | Common Stock (3000.0000) | Direct | |
| Restricted Stock Units | $ | 2017-12-15 | Common Stock (16220.0000) | Direct | |
| Restricted Stock Units | $ | 2018-12-15 | Common Stock (10529.0000) | Direct | |
| Restricted Stock Units | $ | 2019-12-15 | Common Stock (4597.0000) | Direct |
Footnotes
F1: Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through October 1, 2017.
F2: Of the 1,250 employee stock options granted on 11/29/2012, 60% vested on 11/29/2015, 20% vested on 11/29/2016, and 20% will vest on 11/29/2017.
F3: Of the 4,000 employee stock options granted on 11/21/2013, 60% vested on 11/21/2016, 20% will vest on 11/21/2017, and 20% will vest on 11/21/2018.
F4: Of the 5,000 employee stock options granted on 11/20/2014, 60% will vest on 11/20/2017, 20% will vest on 11/20/2018, and 20% will vest on 11/20/2019.
F5: Of the 1,400 RSUs granted on 11/19/2015, 60% will vest on 11/19/2018, 20% will vest on 11/19/2019, and 20% will vest on 11/19/2020.
F6: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.
F7: Of the 5,000 RSUs granted on 11/21/2013, 60% vested on 11/21/2016, 20% will vest on 11/21/2017, and 20% will vest on 11/21/2018.
F8: Of the 3,000 RSUs granted on 11/30/2016, 60% will vest on 11/30/2019, 20% will vest on 11/30/2020, and 20% will vest on 11/30/2021.
F9: RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan.