0001225208-13-003937.txt : 20130213 0001225208-13-003937.hdr.sgml : 20130213 20130213134038 ACCESSION NUMBER: 0001225208-13-003937 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130211 FILED AS OF DATE: 20130213 DATE AS OF CHANGE: 20130213 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: JAMES THOMAS A CENTRAL INDEX KEY: 0001182775 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 13601740 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33772 4 1 doc4.xml X0306 4 2013-02-11 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001182775 JAMES THOMAS A 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 1 1 Executive Chairman Common Stock 2013-02-11 4 S 0 15513.0000 45.4370 D 12434281.0000 D Common Stock 2013-02-12 4 S 0 52419.0000 45.4001 D 12381862.0000 D Common Stock 1026421.0000 I ESOP Common Stock 711305.0000 I Helen James Minck Trust Common Stock 121931.0000 I James' Grandchildren's Trust Common Stock 1325508.0000 I Robert A. James Trust Common Stock 48087.0000 I Spouse Performance Restricted Stock Units 2015-09-30 2016-03-15 Common Stock 2936.0000 2936.0000 D Restricted Stock Units 2015-12-14 2015-12-14 Common Stock 2936.0000 2936.0000 D Restricted Stock Units 2013-12-15 2013-12-15 Common Stock 11908.0000 11908.0000 D Restricted Stock Units 2014-12-15 2014-12-15 Common Stock 10312.0000 10312.0000 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.40 to $45.50, 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.40 to $45.41, 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 February 11, 2013. The reporting person became the beneficial owner of these shares as a result of becoming the successor trustee on September 26, 2011 under the Helen James Minck Trust U/A DTD February 4, 1960, as further Amended and Restated on April 9, 2009. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The reporting person is the trustee of the Trust. These securities are held in the Trust for the benefit of the grandchildren of the reporting person's father. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. The reporting person is the trustee of the Trust. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. 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%. /s/ Thomas A. James by Paul L. Matecki as Attorney-in-Fact 2013-02-13