0001225208-12-022404.txt : 20121105 0001225208-12-022404.hdr.sgml : 20121105 20121105190138 ACCESSION NUMBER: 0001225208-12-022404 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121102 FILED AS OF DATE: 20121105 DATE AS OF CHANGE: 20121105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RAYMOND JAMES FINANCIAL INC CENTRAL INDEX KEY: 0000720005 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 591517485 STATE OF INCORPORATION: FL FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 880 CARILLON PKWY STREET 2: P O BOX 12749 CITY: ST PETERSBURG STATE: FL ZIP: 33716 BUSINESS PHONE: 727-567-1000 MAIL ADDRESS: STREET 1: P O BOX 12749 CITY: ST. PETERSBURG STATE: FL ZIP: 33716 FORMER COMPANY: FORMER CONFORMED NAME: RJ FINANCIAL CORP/FL DATE OF NAME CHANGE: 19870303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JULIEN JEFFREY P CENTRAL INDEX KEY: 0001182753 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 121181396 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33716 4 1 doc4.xml X0306 4 2012-11-02 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001182753 JULIEN JEFFREY P 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 CFO, Executive VP - Fin Common Stock 2012-11-02 4 S 0 15000.0000 38.9061 D 33836.0000 D Common Stock 1040.0000 I By Spouse Common Stock 493.0000 I By spouse through ESOP Common Stock 29309.0000 I ESOP Employee Stock Option (right to buy) 27.1000 2017-01-22 Common Stock 25000.0000 25000.0000 D Employee Stock Option (right to buy) 25.2800 2016-01-24 Common Stock 25000.0000 25000.0000 D Employee Stock Option (right to buy) 30.4400 2010-11-27 2014-01-27 Common Stock 15000.0000 15000.0000 D Restricted Stock Units 2013-12-15 2013-12-15 Common Stock 3133.0000 3133.0000 D Restricted Stock Units 2014-12-15 2014-12-15 Common Stock 5156.0000 5156.0000 D Employee Stock Option (right to buy) 27.1000 2017-01-22 Common Stock 500.0000 500.0000 I By Spouse Employee Stock Option (right to buy) 28.7400 2016-01-23 Common Stock 500.0000 500.0000 I By Spouse Employee Stock Option (right to buy) 25.2800 2015-01-24 Common Stock 500.0000 500.0000 I By Spouse Employee Stock Option (right to buy) 30.4400 2013-11-27 Common Stock 1200.0000 1200.0000 I By Spouse The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.841 to $38.97, 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. Includes number of shares acquired under ESOP through November 2, 2012. Options becoming exercisable - 15,000 on 11/22/2014, 5,000 on 11/22/2015 and 5,000 on 11/22/2016 Options becoming exercisable - 15,000 on 11/24/2012, 2,090 on 11/24/2013, 3,955 on 11/24/2014, 3,955 on 01/24/2015 Options currently exercisable - 12,000; options becoming exercisable - 3,000 on 1/27/2013 Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents. The stock option vests 60% on 11/22/2014, 20% on 11/22/2015 and 20% on 11/22/2016. Options becoming exercisable - 300 on 11/23/2013, 100 on 11/23/2014, 100 on 11/23/2015 Options becoming exercisable - 300 on 11/24/2012, 100 on 11/24/2013, 100 on 11/24/2014 Options currently exercisable - 960; Options becoming exercisable - 240 on 11/27/2012 /s/ Jeffrey P. Julien by Paul L. Matecki as Attorney-in-Fact 2012-11-05