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