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