0001225208-13-006860.txt : 20130306
0001225208-13-006860.hdr.sgml : 20130306
20130306162241
ACCESSION NUMBER: 0001225208-13-006860
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130304
FILED AS OF DATE: 20130306
DATE AS OF CHANGE: 20130306
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: 13669823
MAIL ADDRESS:
STREET 1: 880 CARILLON PARKWAY
CITY: ST. PETERSBURG
STATE: FL
ZIP: 33716
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
4
1
doc4.xml
X0306
4
2013-03-04
0000720005
RAYMOND JAMES FINANCIAL INC
RJF
0001422342
Raney Steven M
880 CARILLON PARKWAY
ST. PETERSBURG
FL
33716
1
President & CEO RJBank
Common Stock
2013-03-04
5
P
0
144.0000
36.8500
A
14941.0000
D
Common Stock
1011.0000
I
ESOP
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
400.0000
400.0000
D
Employee Stock Option (right to buy)
25.2800
2016-01-24
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
533.0000
533.0000
D
Restricted Stock Units
2015-12-14
2015-12-14
Common Stock
534.0000
534.0000
D
Restricted Stock Units
2013-12-15
2013-12-15
Common Stock
391.0000
391.0000
D
Restricted Stock Units
2014-12-15
2014-12-15
Common Stock
687.0000
687.0000
D
Shares purchased through the Company's ESPP
Includes number of shares acquired under ESOP through March 1, 2013.
The stock option vests 60% on 11/22/2014, 20% on 11/22/2015 and 20% on 11/22/2016.
Options becoming exercisable - 200 on 11/24/2013, 200 on 11/24/2014
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.
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/ Steven M. Raney by Paul L. Matecki as Attorney-in-Fact
2013-03-06