Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| RAYMOND JAMES FINANCIAL INCRJF · Entity 3126 | President | December 14, 2021 | December 16, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
RAYMOND JAMES FINANCIAL INC
Report date December 14, 2021 · Filed December 16, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 93,846 |
Last balance in matching sequence
After 2021-12-14 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-12-14 · Exercise / conversion · Acquired 3,473 · Balance 95,131 F1: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F2: Includes 75 shares of common stock acquired on December 2, 2021 pursuant to the registrant's Employee Stock Purchase Plan. Row 2 · 2021-12-14 · Tax withholding · Disposed 1,285 · Balance 93,846 F2: Includes 75 shares of common stock acquired on December 2, 2021 pursuant to the registrant's Employee Stock Purchase Plan. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2021-12-14 | Direct | 0 |
Reported balance
After 2021-12-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-12-14 · Exercise / conversion · Disposed 3,473 · Balance 0 F1: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F4: The RSU grant was previously reported as covering 2,315 shares awarded on December 14, 2018, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2024-12-15 | Direct | 7,002 |
Reported balance
After 2021-12-15 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-12-15 · Grant · Acquired 7,002 · Balance 7,002 F1: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F5: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. |
| Common StockSEC Table I · non-derivative | IndirectESOP | 1,077 |
Reported balance
Holding disclosure · report date 2021-12-14 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,077 F3: Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 6, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.
F2: Includes 75 shares of common stock acquired on December 2, 2021 pursuant to the registrant's Employee Stock Purchase Plan.
F3: Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 6, 2021.
F4: The RSU grant was previously reported as covering 2,315 shares awarded on December 14, 2018, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F5: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 18, 2019 Filed Nov 20, 2019 16:24 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-014695 · doc4.xml · nonDerivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,991 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 17:58 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 1,074 | $74.04 | $79,518.96 |
DisclosureSEC source: 0001225208-19-000529 · doc4.xml · nonDerivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,991 Read SEC document |
| December 15, 2018 Filed Dec 18, 2018 20:09 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 3,877 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-016792 · doc4.xml · derivative · entry 5 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,877 shares Expires 2018-12-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| December 15, 2018 Filed Dec 18, 2018 20:09 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 1,434 | $74.34 | $106,603.56 |
DisclosureSEC source: 0001225208-18-016792 · doc4.xml · nonDerivative · entry 2 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,065 Read SEC document |
| December 15, 2018 Filed Dec 18, 2018 20:09 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 3,877 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-016792 · doc4.xml · nonDerivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,499 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| December 14, 2018 Filed Dec 18, 2018 20:09 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 2,315 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-016792 · doc4.xml · derivative · entry 4 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,315 Underlying: Common Stock · 2,315 shares Expires 2021-12-14 F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F3 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. Read SEC document |
| November 29, 2018 Filed Nov 30, 2018 18:47 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015992 · doc4.xml · derivative · entry 3 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2023-11-29 F3 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F4 · derivative.exercise_date: RSUs vest 60% on 11/29/2021, 20% on 11/29/2022, and 20% on 11/29/2023. Read SEC document |
| November 28, 2018 Filed Nov 30, 2018 18:47 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantCommon Stock | 4,884 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015992 · doc4.xml · nonDerivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,622 F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2015. Read SEC document |
| November 18, 2018 Filed Nov 20, 2018 13:12 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015690 · doc4.xml · derivative · entry 4 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 3,000 shares Expires 2020-11-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F3 · derivative.exercise_date: RSUs vested 60% on 11/18/2018, and will vest 20% on 11/18/2019, and 20% on 11/18/2020. Read SEC document |
| November 18, 2018 Filed Nov 20, 2018 13:12 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 730 | $78.74 | $57,480.20 |
DisclosureSEC source: 0001225208-18-015690 · doc4.xml · nonDerivative · entry 2 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,738 Read SEC document |
| November 18, 2018 Filed Nov 20, 2018 13:12 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015690 · doc4.xml · nonDerivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,468 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| September 10, 2018 Filed Sep 11, 2018 18:37 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 5,698 | $0.00 Strike: $55.49 | $0.00 |
DisclosureSEC source: 0001225208-18-013315 · doc4.xml · derivative · entry 4 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,698 shares Expires 2021-11-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: On November 20, 2014, the reporting person received a grant of 12,500 stock options. Stock options vested 60% on 11/20/2017, will vest 20% on 11/20/2018, and will vest 20% on 11/20/2019. Read SEC document |
| September 10, 2018 Filed Sep 11, 2018 18:37 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 5,698 | $92.66 | $527,985.80 |
DisclosureSEC source: 0001225208-18-013315 · doc4.xml · nonDerivative · entry 2 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,468 F1 · kind: 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. F2 · price: Reflects the weighted average sale price. The range of prices for such transaction was $92.62 to $92.72. Read SEC document |
| September 10, 2018 Filed Sep 11, 2018 18:37 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 5,698 | $55.49 | $316,182.02 |
DisclosureSEC source: 0001225208-18-013315 · doc4.xml · nonDerivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,166 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 29, 2018 Filed Jan 31, 2018 13:39 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 1,802 | $0.00 Strike: $55.49 | $0.00 |
DisclosureSEC source: 0001225208-18-001897 · doc4.xml · derivative · entry 3 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,698 Underlying: Common Stock · 1,802 shares Expires 2021-11-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Of the 12,500 employee stock options granted on 11/20/2014, 60% vested on 11/20/2017, 20% will vest on 11/20/2018, and 20% will vest on 11/20/2019. Read SEC document |
| January 29, 2018 Filed Jan 31, 2018 13:39 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 1,802 | $55.49 | $99,992.98 |
DisclosureSEC source: 0001225208-18-001897 · doc4.xml · nonDerivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,468 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 16:13 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 997 | $88.86 | $88,593.42 |
DisclosureSEC source: 0001225208-18-000519 · doc4.xml · nonDerivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,666 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 21:03 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 2,669 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018882 · doc4.xml · derivative · entry 5 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,669 Underlying: Common Stock · 2,669 shares Expires 2020-12-15 F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F3 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 21:03 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 3,764 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018882 · doc4.xml · derivative · entry 4 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,764 shares Expires 2017-12-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 21:03 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 1,490 | $88.24 | $131,477.60 |
DisclosureSEC source: 0001225208-17-018882 · doc4.xml · nonDerivative · entry 2 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,663 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 21:03 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 3,764 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018882 · doc4.xml · nonDerivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,153 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| November 30, 2017 Filed Dec 1, 2017 22:42 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-017999 · doc4.xml · derivative · entry 3 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2022-11-30 F3 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F4 · derivative.exercise_date: RSUs vest 60% on 11/30/2020, 20% on 11/30/2021, and 20% on 11/30/2022. Read SEC document |
| November 29, 2017 Filed Dec 1, 2017 22:42 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantCommon Stock | 3,989 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-017999 · doc4.xml · nonDerivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,389 F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2014. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 18:59 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 1,203 | $69.68 | $83,825.04 |
DisclosureSEC source: 0001225208-17-000577 · doc4.xml · nonDerivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,400 Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 17:57 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 3,620 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043456 · doc4.xml · derivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,620 Underlying: Common Stock · 3,620 shares Expires 2019-12-15 F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F2 · shares: Award of RSUs as a portion of annual bonus under 2012 Stock Incentive Plan. Read SEC document |
| December 13, 2016 Filed Dec 14, 2016 21:03 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 4,863 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043171 · doc4.xml · derivative · entry 4 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,863 shares Expires 2016-12-13 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| December 13, 2016 Filed Dec 14, 2016 21:03 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 2,040 | $71.60 | $146,064.00 |
DisclosureSEC source: 0001225208-16-043171 · doc4.xml · nonDerivative · entry 2 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,603 Read SEC document |
| December 13, 2016 Filed Dec 14, 2016 21:03 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 4,863 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043171 · doc4.xml · nonDerivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,643 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| December 08, 2016 Filed Dec 9, 2016 17:51 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 20,000 | $73.83 | $1,476,574.00 |
DisclosureSEC source: 0001225208-16-042941 · doc4.xml · nonDerivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,780 F1 · kind: 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. F2 · price: Reflects the weighted average sale price. The range of prices for such transaction was $73.80 to $73.92. Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 21:35 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042512 · doc4.xml · derivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2021-11-30 F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. F2 · derivative.exercise_date: RSUs vest 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021. Read SEC document |
| November 21, 2016 Filed Nov 23, 2016 18:24 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantCommon Stock | 4,813 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042178 · doc4.xml · nonDerivative · entry 1 Carson John C Jr. · CIK 0001509485 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,780 F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/13/2013. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.