0001225208-13-022519.txt : 20131031
0001225208-13-022519.hdr.sgml : 20131031
20131031150827
ACCESSION NUMBER: 0001225208-13-022519
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130930
FILED AS OF DATE: 20131031
DATE AS OF CHANGE: 20131031
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: HELCK CHESTER B
CENTRAL INDEX KEY: 0001182226
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09109
FILM NUMBER: 131182405
MAIL ADDRESS:
STREET 1: 880 CARILLON PARKWAY
CITY: ST. PETERSBURG
STATE: FL
ZIP: 33716
5
1
doc5.xml
X0306
5
2013-09-30
0
0
0000720005
RAYMOND JAMES FINANCIAL INC
RJF
0001182226
HELCK CHESTER B
880 CARILLON PARKWAY
ST. PETERSBURG
FL
33716
1
1
Executive Vice President
Common Stock
123781.0000
D
Common Stock
9247.0000
I
ESOP
Common Stock
40791.0000
I
Spouse
Employee Stock Option (right to buy)
35.3800
2017-01-22
Common Stock
42415.0000
42415.0000
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
4838.0000
4838.0000
D
Restricted Stock Units
2015-12-14
2015-12-14
Common Stock
4838.0000
4838.0000
D
Restricted Stock Units
2013-12-15
2013-12-15
Common Stock
9401.0000
9401.0000
D
Restricted Stock Units
2014-12-15
2014-12-15
Common Stock
13750.0000
13750.0000
D
Includes number of shares acquired under ESOP through September 30, 2013.
Options becoming exercisable - 25,449 on 11/22/2014, 8,483 on 11/22/2015 and 8,483 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%.
/s/ Chester B. Helck by Paul L. Matecki as Attorney-in-Fact
2013-10-31