0001225208-15-007210.txt : 20150309
0001225208-15-007210.hdr.sgml : 20150309
20150309122452
ACCESSION NUMBER: 0001225208-15-007210
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150305
FILED AS OF DATE: 20150309
DATE AS OF CHANGE: 20150309
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: Raney Steven M
CENTRAL INDEX KEY: 0001422342
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09109
FILM NUMBER: 15684310
MAIL ADDRESS:
STREET 1: 880 CARILLON PARKWAY
CITY: ST. PETERSBURG
STATE: FL
ZIP: 33716
4
1
doc4.xml
X0306
4
2015-03-05
0000720005
RAYMOND JAMES FINANCIAL INC
RJF
0001422342
Raney Steven M
880 CARILLON PARKWAY
ST. PETERSBURG
FL
33716
1
President & CEO RJBank
Common Stock
2015-03-05
4
S
0
16627.0000
58.0108
D
4277.0000
D
Common Stock
2015-03-06
4
M
0
15000.0000
27.1000
A
19277.0000
D
Common Stock
2015-03-06
4
M
0
1627.0000
25.2800
A
20904.0000
D
Common Stock
1227.0000
I
ESOP
Employee Stock Option (right to buy)
27.1000
2015-03-06
4
M
0
15000.0000
0.0000
D
2017-01-22
Common Stock
15000.0000
10000.0000
D
Employee Stock Option (right to buy)
25.2800
2015-03-06
4
M
0
1627.0000
0.0000
D
2016-01-24
Common Stock
1627.0000
0.0000
D
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 4, 2015.
The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. Price reflects the weighted average sale price. The range of prices for such transaction was $58.00 to $58.06.
The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 4, 2015.
The stock option vests 60% on 11/22/2014, 20% on 11/22/2015 and 20% on 11/22/2016.
Of the 25,000 employee stock options granted on 11/24/2009, 15,000 vested and became exercisable on 11/24/2012, 2,090 on 11/24/2013, 3,955 on 11/24/2014 and 3,955 on 01/24/2015.
This Form 4 reports (i) the open market sale of 16,627 shares of common stock, (ii) a stock option exercise with respect to 1,627 shares of common stock, and (iii) a stock option exercise with respect to 15,000 shares of common stock, all effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 4, 2015.
/s/ Steven M. Raney by Paul L. Matecki as Attorney-in-Fact
2015-03-09