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