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