0001225208-13-002297.txt : 20130129 0001225208-13-002297.hdr.sgml : 20130129 20130129115242 ACCESSION NUMBER: 0001225208-13-002297 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130128 FILED AS OF DATE: 20130129 DATE AS OF CHANGE: 20130129 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: 13554158 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33716 4 1 doc4.xml X0306 4 2013-01-28 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001182753 JULIEN JEFFREY P 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 CFO, Executive VP - Fin Common Stock 2013-01-28 4 S 0 11908.0000 44.3547 D 21928.0000 D Common Stock 2240.0000 I By Spouse Common Stock 504.0000 I By spouse through ESOP Common Stock 29426.0000 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) 37.8700 2019-11-29 Common Stock 12500.0000 12500.0000 D Employee Stock Option (right to buy) 30.4400 2010-11-27 2014-01-27 Common Stock 15000.0000 15000.0000 D Performance Restricted Stock Units 2015-09-30 2016-03-15 Common Stock 2269.0000 2269.0000 D Restricted Stock Units 2015-12-14 2015-12-14 Common Stock 2269.0000 2269.0000 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) 37.8700 2018-01-29 Common Stock 1000.0000 1000.0000 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 $44.33 to $44.40, 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 January 24, 2013. Options becoming exercisable - 15,000 on 11/22/2014, 5,000 on 11/22/2015 and 5,000 on 11/22/2016 Options currently exercisable - 15,000; options becoming exercisable - 2,090 on 11/24/2013, 3,955 on 11/24/2014, 3,955 on 01/24/2015 The stock option vests 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017. Currently exercisable Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents. 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%. 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 currently exercisable - 300; options becoming exercisable 100 on 11/24/2013 and 100 on 11/24/2014 /s/ Jeffrey P. Julien by Paul L. Matecki as Attorney-in-Fact 2013-01-29