0001225208-13-023353.txt : 20131113 0001225208-13-023353.hdr.sgml : 20131113 20131113122608 ACCESSION NUMBER: 0001225208-13-023353 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131112 FILED AS OF DATE: 20131113 DATE AS OF CHANGE: 20131113 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: Allison Paul D CENTRAL INDEX KEY: 0001453440 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09109 FILM NUMBER: 131213514 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33716 4 1 doc4.xml X0306 4 2013-11-12 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001453440 Allison Paul D 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 Chair, President & CEO RJ Ltd. Common Stock 2013-11-12 4 S 0 7000.0000 46.0501 D 12761.0000 D Common Stock 1828.0000 I Rose Allison Holdings Inc. 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 2015-01-24 Common Stock 10000.0000 10000.0000 D Employee Stock Option (right to buy) 37.8700 2019-11-29 Common Stock 12500.0000 12500.0000 D Performance Restricted Stock Units 2015-09-30 2016-03-15 Common Stock 2179.0000 2179.0000 D Restricted Stock Units 2015-12-07 2015-12-07 Common Stock 2179.0000 2179.0000 D Restricted Stock Units 2013-12-10 2013-12-10 Common Stock 5039.0000 5039.0000 D Restricted Stock Units 2014-12-15 2014-12-15 Common Stock 8548.0000 8548.0000 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.0400 to $46.0900, 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. These shares are held by Rose Allison Holdings Inc., an Ontario corporation, which is wholly owned by the reporting person's spouse. 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. Options becoming exercisable - 15,000 on 11/22/2014, 5,000 on 11/22/2015 and 5,000 on 11/22/2016 Options becoming exercisable - 5,000 on 11/24/2013 and 5,000 on 11/24/2014 The stock option vests 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017. 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%. Each restricted stock unit represents a contingent right to receive one share of RJF common stock or cash to be determined by the Company's compensation committee upon vesting. /s/ Paul D. Allison by Paul L. Matecki as Attorney-in-Fact 2013-11-13