Skip to main content

AI assistant

Sign in to chat with this filing

The assistant answers questions, extracts KPIs, and summarises risk factors directly from the filing text.

Raymond James Wealth Management Ltd Director's Dealing 2017

Dec 1, 2017

10792_dirs_2017-12-01_79334560-f5b9-4619-83e3-5b5fa72959a9.zip

Director's Dealing

Open in viewer

Opens in your device viewer

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: RAYMOND JAMES FINANCIAL INC (RJF)
CIK: 0000720005
Period of Report: 2017-11-29

Reporting Person: TROCIN JEFFREY E (Co-Pres-GlobEq&Inv Banking-RJA)

Non-Derivative Transactions

Date Security Code Shares Price A/D Holdings After Ownership
2017-11-29 Common Stock A 6770.0000 $0.0000 Acquired 169717.0000 Direct

Derivative Transactions

Date Security Exercise Price Code Shares A/D Expiration Underlying Ownership
2017-11-30 Restricted Stock Units $ A 5000.0000 Acquired 2022-11-30 Common Stock (5000.0000) Direct

Holdings (Non-Derivative)

Security Shares Ownership
Common Stock 5587.0000 Indirect

Footnotes

F1: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2014.

F2: Includes 71 shares of common stock acquired on March 2, 2017, 79 shares of common stock acquired on June 2, 2017, and 73 shares of common stock acquired on September 5, 2017, pursuant to the registrant's Employee Stock Purchase Plan.

F3: Since the date of the reporting person's last Form 4 reflecting common stock holdings, the reporting person has disposed of 3,500 shares held in his ESOP account pursuant to a diversification election made under the Internal Revenue Code, and his ESOP account has received additional allocations under the ESOP through November 28, 2017.

F4: 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.

F5: RSUs vest 60% on 11/30/2020, 20% on 11/30/2021, and 20% on 11/30/2022.