Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| RAYMOND JAMES FINANCIAL INCRJF · Entity 3126 | Vice Chairman | December 23, 2019 | December 26, 2019 |
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 23, 2019 · Filed December 26, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 185,890 |
Reported balance
After 2019-12-23 transaction · row 1
1 source rowRow 1 · 2019-12-23 · Exercise / conversion · Acquired 1,802 · Balance 185,890 |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $55.49 · Expires 2021-11-20 | Direct | 10,698 |
Reported balance
After 2019-12-23 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-12-23 · Exercise / conversion · Disposed 1,802 · Balance 10,698 F2: Stock options vested 60% on 11/20/2017, 20% on 11/20/2018, and 20% on 11/20/2019. |
| Common StockSEC Table I · non-derivative | IndirectESOP | 874 |
Reported balance
Holding disclosure · report date 2019-12-23 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 874 F1: Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 12, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 12, 2019.
F2: Stock options vested 60% on 11/20/2017, 20% on 11/20/2018, and 20% on 11/20/2019.
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 |
|---|---|---|---|---|---|---|
| December 23, 2019 Filed Dec 26, 2019 11:01 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: 0001225208-19-016048 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 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: Stock options vested 60% on 11/20/2017, 20% on 11/20/2018, and 20% on 11/20/2019. Read SEC document |
| December 23, 2019 Filed Dec 26, 2019 11:01 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 1,802 | $55.49 | $99,992.98 |
DisclosureSEC source: 0001225208-19-016048 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,890 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 |
| December 15, 2019 Filed Dec 17, 2019 16:59 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 1,931 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015883 · doc4.xml · derivative · entry 4 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,931 shares Expires 2019-12-15 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, 2019 Filed Dec 17, 2019 16:59 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 1,931 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015883 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,088 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. F2 · balance_after: Includes 64 shares of common stock acquired on December 3, 2019, pursuant to the registrant's Employee Stock Purchase Plan. Read SEC document |
| December 13, 2019 Filed Dec 17, 2019 16:59 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 1,264 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015883 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,264 Underlying: Common Stock · 1,264 shares Expires 2022-12-13 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. F4 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 20:51 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015182 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 3,000 shares Expires 2021-11-30 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 11/30/2019, will vest 20% on 11/30/2020, and 20% on 11/30/2021. Read SEC document |
| November 30, 2019 Filed Dec 3, 2019 20:51 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-015182 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,093 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 22, 2019 Filed Nov 25, 2019 21:21 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-014870 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 2,000 shares Expires 2024-11-22 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 11/22/2022, 20% on 11/22/2023, and 20% on 11/22/2024. Read SEC document |
| November 21, 2019 Filed Nov 25, 2019 21:21 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantCommon Stock | 2,683 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-014870 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,093 F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2016. Read SEC document |
| November 18, 2019 Filed Nov 19, 2019 21:07 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-014656 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Underlying: Common Stock · 1,000 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 20% on 11/18/2019, and will vest 20% on 11/18/2020. Read SEC document |
| November 18, 2019 Filed Nov 19, 2019 21:07 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-014656 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,410 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 05, 2019 Filed Nov 7, 2019 20:07 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 17,360 | $88.09 | $1,529,268.44 |
DisclosureSEC source: 0001225208-19-014248 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,410 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 $88.00 to $88.21. F3 · balance_after: Includes 74 shares of common stock acquired on September 4, 2019, pursuant to the registrant's Employee Stock Purchase Plan. Read SEC document |
| August 05, 2019 Filed Aug 7, 2019 19:06 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 10,426 | $0.00 Strike: $48.20 | $0.00 |
DisclosureSEC source: 0001225208-19-010957 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,426 shares Expires 2020-11-21 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. F3 · derivative.exercise_date: The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018. Read SEC document |
| August 05, 2019 Filed Aug 7, 2019 19:06 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 10,426 | $48.20 | $502,533.20 |
DisclosureSEC source: 0001225208-19-010957 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,696 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 · balance_after: Includes 69 shares of common stock acquired on June 4, 2019, pursuant to the registrant's Employee Stock Purchase Plan. Read SEC document |
| April 29, 2019 Filed May 1, 2019 16:49 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 13,157 | $91.11 | $1,198,717.17 |
DisclosureSEC source: 0001225208-19-007406 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,201 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 $91.01 to $91.26. F3 · balance_after: Includes 68 shares of common stock acquired on March 4, 2019, pursuant to the registrant's Employee Stock Purchase Plan. Read SEC document |
| December 15, 2018 Filed Dec 18, 2018 20:53 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 4,415 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-016808 · doc4.xml · derivative · entry 4 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,415 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 20:53 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 4,415 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-016808 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,290 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 20:53 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 4,631 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-016808 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,631 Underlying: Common Stock · 4,631 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 |
| December 12, 2018 Filed Dec 14, 2018 15:53 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 2,074 | $0.00 Strike: $48.20 | $0.00 |
DisclosureSEC source: 0001225208-18-016598 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,426 Underlying: Common Stock · 2,074 shares Expires 2020-11-21 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. F3 · derivative.exercise_date: The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 15:53 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 2,074 | $48.20 | $99,966.80 |
DisclosureSEC source: 0001225208-18-016598 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,875 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 · balance_after: Includes 71 shares of common stock acquired on December 4, 2018, pursuant to the registrant's Employee Stock Purchase 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 | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015993 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Underlying: Common Stock · 3,000 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 | 5,563 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015993 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,730 F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2015. Read SEC document |
| November 18, 2018 Filed Nov 20, 2018 20:19 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015718 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 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 20:19 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015718 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,167 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 |
| October 24, 2018 Filed Oct 26, 2018 14:21 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 17,360 | $0.00 Strike: $37.87 | $0.00 |
DisclosureSEC source: 0001225208-18-014879 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,360 shares Expires 2019-11-29 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. F3 · derivative.exercise_date: The stock option vested 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017. Read SEC document |
| October 24, 2018 Filed Oct 26, 2018 14:21 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 17,360 | $37.87 | $657,423.20 |
DisclosureSEC source: 0001225208-18-014879 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,167 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 · balance_after: Includes 62 shares of common stock acquired on March 2, 2018, 58 shares of common stock acquired on June 4, 2018, and 61 shares of common stock acquired on September 5, 2018, pursuant to the registrant's Employee Stock Purchase Plan. Read SEC document |
| December 21, 2017 Filed Dec 22, 2017 16:12 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 2,640 | $0.00 Strike: $37.87 | $0.00 |
DisclosureSEC source: 0001225208-17-019016 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,360 Underlying: Common Stock · 2,640 shares Expires 2019-11-29 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: The stock option vested 60% on 11/29/2015, 20% on 11/29/2016, and 20% on 11/29/2017. Read SEC document |
| December 21, 2017 Filed Dec 22, 2017 16:12 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 2,640 | $37.87 | $99,976.80 |
DisclosureSEC source: 0001225208-17-019016 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,626 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 |
| December 15, 2017 Filed Dec 19, 2017 21:40 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 4,617 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018905 · doc4.xml · derivative · entry 4 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,617 Underlying: Common Stock · 4,617 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 21:40 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 6,387 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018905 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,387 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 21:40 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 6,387 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018905 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,986 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 11, 2017 Filed Dec 12, 2017 20:08 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 16,184 | $88.89 | $1,438,624.89 |
DisclosureSEC source: 0001225208-17-018512 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,599 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 $88.65 to $89.25. F3 · balance_after: Includes 66 shares of common stock acquired on December 4, 2017, pursuant to the registrant's Employee Stock Purchase Plan. Read SEC document |
| November 30, 2017 Filed Dec 1, 2017 21:11 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-017975 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2022-11-30 F4 · 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. F5 · 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 21:11 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantCommon Stock | 6,770 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-017975 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Co-Pres-GlobEq&Inv Banking-RJA 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,717 F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2014. F2 · balance_after: Includes 71 shares of common stock acquired on March 2, 2017, 79 shares of common stock acquired on June 2, 2017, and 73 shares of common stock acquired on September 5, 2017, pursuant to the registrant's Employee Stock Purchase Plan. Read SEC document |
| January 19, 2017 Filed Jan 23, 2017 21:10 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 1,310 | $0.00 Strike: $27.10 | $0.00 |
DisclosureSEC source: 0001225208-17-001450 · doc4.xml · derivative · entry 4 TROCIN JEFFREY E · CIK 0001185788 · Executive Vice President - RJF 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,310 shares Expires 2017-01-22 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 25,000 employee stock options granted on 11/22/2011, 60% became exercisable on 11/22/2014, 20% on 11/22/2015, and 20% on 11/22/2016. Read SEC document |
| January 19, 2017 Filed Jan 23, 2017 21:10 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 491 | $72.21 | $35,455.11 |
DisclosureSEC source: 0001225208-17-001450 · doc4.xml · nonDerivative · entry 2 TROCIN JEFFREY E · CIK 0001185788 · Executive Vice President - RJF 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,724 Read SEC document |
| January 19, 2017 Filed Jan 23, 2017 21:10 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 1,310 | $27.10 | $35,501.00 |
DisclosureSEC source: 0001225208-17-001450 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Executive Vice President - RJF 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,215 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 06, 2017 Filed Jan 10, 2017 16:51 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 3,690 | $0.00 Strike: $27.10 | $0.00 |
DisclosureSEC source: 0001225208-17-000935 · doc4.xml · derivative · entry 4 TROCIN JEFFREY E · CIK 0001185788 · Executive Vice President - RJF 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,310 Underlying: Common Stock · 3,690 shares Expires 2017-01-22 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 25,0000 employee stock options granted on 11/22/2011, 60% became exercisable on 11/22/2014, 20% on 11/22/2015, and 20% on 11/22/2016. Read SEC document |
| January 06, 2017 Filed Jan 10, 2017 16:51 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 1,339 | $74.66 | $99,969.74 |
DisclosureSEC source: 0001225208-17-000935 · doc4.xml · nonDerivative · entry 2 TROCIN JEFFREY E · CIK 0001185788 · Executive Vice President - RJF 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,905 Read SEC document |
| January 06, 2017 Filed Jan 10, 2017 16:51 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 3,690 | $27.10 | $99,999.00 |
DisclosureSEC source: 0001225208-17-000935 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Executive Vice President - RJF 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,244 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 |
| December 23, 2016 Filed Jan 5, 2017 18:32 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 1,197 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-000571 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Executive Vice President - RJF 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,554 Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 21:04 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 1,931 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043507 · doc4.xml · derivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Executive Vice President - RJF 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,931 Underlying: Common Stock · 1,931 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 20:39 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 4,351 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043165 · doc4.xml · derivative · entry 3 TROCIN JEFFREY E · CIK 0001185788 · Executive Vice President - RJF 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,351 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 20:39 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 4,351 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043165 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Executive Vice President - RJF 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,751 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. F2 · balance_after: Includes 78 shares of common stock acquired on December 2, 2016, pursuant to the registrant's Employee Stock Purchase Plan. Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 21:38 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042514 · doc4.xml · derivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Executive Vice President - RJF 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 20:42 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantCommon Stock | 4,307 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042194 · doc4.xml · nonDerivative · entry 2 TROCIN JEFFREY E · CIK 0001185788 · Executive Vice President - RJF 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,322 F2 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/13/2013. F3 · balance_after: Reflects a reduction in shares previously attributable to the reporting person due to holdings by adult children now independent of the reporting person. Read SEC document |
| November 15, 2016 Filed Nov 23, 2016 20:42 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 150 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042194 · doc4.xml · nonDerivative · entry 1 TROCIN JEFFREY E · CIK 0001185788 · Executive Vice President - RJF 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,015 F1 · balance_after: Includes 128 shares of common stock acquired on March 2, 2016, 103 shares of common stock acquired on June 2, 2016, and 99 shares of common stock acquired on September 2, 2016, pursuant to the registrant's Employee Stock Purchase Plan. 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.