0001225208-13-019124.txt : 20130905 0001225208-13-019124.hdr.sgml : 20130905 20130905104402 ACCESSION NUMBER: 0001225208-13-019124 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130904 FILED AS OF DATE: 20130905 DATE AS OF CHANGE: 20130905 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: 131079541 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33716 4 1 doc4.xml X0306 4 2013-09-04 0000720005 RAYMOND JAMES FINANCIAL INC RJF 0001422342 Raney Steven M 880 CARILLON PARKWAY ST. PETERSBURG FL 33716 1 President & CEO RJBank Common Stock 2013-09-04 5 P 0 148.0000 35.7200 A 15232.0000 D Common Stock 1087.0000 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 September 3, 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 2013-09-05