Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| RAYMOND JAMES FINANCIAL INCRJF · Entity 3126 | Chief Operating Officer | March 09, 2018 | March 13, 2018 |
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 March 09, 2018 · Filed March 13, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 130,846 |
Ending reported balance
After 2018-03-09 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-02-27 · Gift · Disposed 22 · Balance 150,849 Row 2 · 2018-03-09 · Sale · Disposed 20,003 · Balance 130,846 F1: 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: Reflects the weighted average sale price. The range of prices for such transaction was $98.50 to $98.71. |
| Common StockSEC Table I · non-derivative | IndirectESOP | 52,562 |
Reported balance
Holding disclosure · report date 2018-03-09 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 52,562 F3: Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through March 9, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: Reflects the weighted average sale price. The range of prices for such transaction was $98.50 to $98.71.
F3: Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through March 9, 2018.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ITERIS, INC.
Report date November 01, 2024 · Filed November 01, 2024
Section 16 reporting ended · disclosed 2024-11-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-11-01 transaction · row 1
1 source rowRow 1 · 2024-11-01 · Disposition to issuer · Disposed 92,526 · Balance 0 F1: Reflects the disposition of securities pursuant to that certain Agreement and Plan of Merger, dated August 8, 2024, by and among Iteris, Inc. (the "Company"), Almaviva S.p.A ("Parent") and Pantheon Merger Sub Inc. ("Merger Sub"), pursuant to which on November 1, 2024, Merger Sub merged with and into the Company, with the Company continuing as the surviving corporation of the merger and as an indirect wholly owned subsidiary of Parent (the "Merger"). F2: At the effective time of the Merger (the "Effective Time"), by virtue of the Merger, the shares of common stock, par value $0.10 per share (the "Common Stock") and restricted stock units ("RSUs") held by the reporting person were automatically canceled and converted into the right to receive $7.20 in cash (the "Merger Consideration"). F3: Includes 11,126 RSUs granted on October 22, 2024, that at the Effective Time, by virtue of the Merger, became fully vested and were automatically cancelled and converted into the right to receive the Merger Consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects the disposition of securities pursuant to that certain Agreement and Plan of Merger, dated August 8, 2024, by and among Iteris, Inc. (the "Company"), Almaviva S.p.A ("Parent") and Pantheon Merger Sub Inc. ("Merger Sub"), pursuant to which on November 1, 2024, Merger Sub merged with and into the Company, with the Company continuing as the surviving corporation of the merger and as an indirect wholly owned subsidiary of Parent (the "Merger").
F2: At the effective time of the Merger (the "Effective Time"), by virtue of the Merger, the shares of common stock, par value $0.10 per share (the "Common Stock") and restricted stock units ("RSUs") held by the reporting person were automatically canceled and converted into the right to receive $7.20 in cash (the "Merger Consideration").
F3: Includes 11,126 RSUs granted on October 22, 2024, that at the Effective Time, by virtue of the Merger, became fully vested and were automatically cancelled and converted into the right to receive the Merger Consideration.
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 01, 2024 Filed Nov 1, 2024 11:38 UTC | ITERIS, INC. ITI · Entity 86402 | Disposition to issuerCommon Stock | 92,526 | $7.20 | $666,187.20 |
DisclosureSEC source: 0001140361-24-044957 · form4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: Reflects the disposition of securities pursuant to that certain Agreement and Plan of Merger, dated August 8, 2024, by and among Iteris, Inc. (the "Company"), Almaviva S.p.A ("Parent") and Pantheon Merger Sub Inc. ("Merger Sub"), pursuant to which on November 1, 2024, Merger Sub merged with and into the Company, with the Company continuing as the surviving corporation of the merger and as an indirect wholly owned subsidiary of Parent (the "Merger"). F2 · kind: At the effective time of the Merger (the "Effective Time"), by virtue of the Merger, the shares of common stock, par value $0.10 per share (the "Common Stock") and restricted stock units ("RSUs") held by the reporting person were automatically canceled and converted into the right to receive $7.20 in cash (the "Merger Consideration"). F3 · shares: Includes 11,126 RSUs granted on October 22, 2024, that at the Effective Time, by virtue of the Merger, became fully vested and were automatically cancelled and converted into the right to receive the Merger Consideration. F1 · price: Reflects the disposition of securities pursuant to that certain Agreement and Plan of Merger, dated August 8, 2024, by and among Iteris, Inc. (the "Company"), Almaviva S.p.A ("Parent") and Pantheon Merger Sub Inc. ("Merger Sub"), pursuant to which on November 1, 2024, Merger Sub merged with and into the Company, with the Company continuing as the surviving corporation of the merger and as an indirect wholly owned subsidiary of Parent (the "Merger"). F2 · price: At the effective time of the Merger (the "Effective Time"), by virtue of the Merger, the shares of common stock, par value $0.10 per share (the "Common Stock") and restricted stock units ("RSUs") held by the reporting person were automatically canceled and converted into the right to receive $7.20 in cash (the "Merger Consideration"). Read SEC document |
| October 22, 2024 Filed Oct 24, 2024 16:01 UTC | ITERIS, INC. ITI · Entity 86402 | GrantCommon Stock | 11,126 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-043612 · wk-form4_1729800094.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 92,526 F1 · shares: These shares represent restricted stock units and will be settled in common stock upon vesting. The restricted stock units shall vest on the earlier of (a) the first anniversary of the Grant Date, (b) the date of the next annual meeting of the Company stockholders occurring after the Grant Date, or (c) a Change in Control. Read SEC document |
| September 07, 2023 Filed Sep 11, 2023 16:03 UTC | ITERIS, INC. ITI · Entity 86402 | GrantCommon Stock | 17,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-23-031969 · wk-form4_1694462593.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,400 F1 · shares: These shares represent restricted stock units and will be settled in common stock upon vesting. The restricted stock units shall vest on the earlier of (a) the first anniversary of the Grant Date, or (b) the date of the next annual meeting of the Company stockholders occurring after the Grant Date. Read SEC document |
| September 12, 2022 Filed Sep 14, 2022 19:26 UTC | ITERIS, INC. ITI · Entity 86402 | GrantCommon Stock | 24,922 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-22-024936 · wf-form4_166319796173339.xml · nonDerivative · entry 2 ZANK DENNIS W · CIK 0001182767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,922 F1 · balance_after: These shares represent restricted stock units and will be settled in common stock upon vesting. The restricted stock units shall vest on the earlier of (a) the first anniversary of the Grant Date, or (b) the date of the next annual meeting of the Company stockholders occurring after the Grant Date. Read SEC document |
| September 08, 2022 Filed Sep 14, 2022 19:26 UTC | ITERIS, INC. ITI · Entity 86402 | Exercise / conversionRestricted Stock Units · Derivative | 14,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-22-024936 · wf-form4_166319796173339.xml · derivative · entry 3 ZANK DENNIS W · CIK 0001182767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,625 shares Expires 2022-09-08 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_price: Each restricted stock unit represents a contingent right to receive one share of common stock upon the vesting date. F3 · derivative.exercise_date: The restricted stock units vested on the date of the 2022 stockholder meeting on 09/08/2022 Read SEC document |
| September 08, 2022 Filed Sep 14, 2022 19:26 UTC | ITERIS, INC. ITI · Entity 86402 | Exercise / conversionCommon Stock | 14,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-22-024936 · wf-form4_166319796173339.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,625 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 |
| February 09, 2022 Filed Feb 10, 2022 16:44 UTC | ITERIS, INC. ITI · Entity 86402 | GrantCommon Stock | 10,000 | $3.44 | $34,350.00 |
DisclosureSEC source: 0001628280-22-002213 · wf-form4_164452943050370.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,424 F1 · price: The reported securities were purchased in multiple transactions at prices ranging from $3.41 to $3.44. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range. Read SEC document |
| September 14, 2021 Filed Sep 15, 2021 16:08 UTC | ITERIS, INC. ITI · Entity 86402 | GrantRestricted Stock Units · Derivative | 14,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-018687 · wf-form4_163173648691822.xml · derivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,625 Underlying: Common Stock · 14,625 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock upon the vesting date. F2 · derivative.exercise_date: The restricted stock units shall vest on the earlier of (a) the first anniversary of the Grant Date, or (b) the date of the next annual meeting of the Company stockholders occurring after the Grant Date. F3 · derivative.expiration_date: The restricted stock units' expiration will be on the earlier of (a) the first anniversary of the Grant Date, or (b) the date of the next annual meeting of the Company stockholders occurring after the Grant Date. Read SEC document |
| September 09, 2021 Filed Sep 13, 2021 18:04 UTC | ITERIS, INC. ITI · Entity 86402 | Exercise / conversionRestricted Stock Units · Derivative | 9,569 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-21-018510 · wf-form4_163157064523277.xml · derivative · entry 2 ZANK DENNIS W · CIK 0001182767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,569 shares Expires 2021-09-09 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 represents a contingent right to receive one share of common stock upon the vesting date. F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock upon the vesting date. F2 · derivative.exercise_date: The RSU's vested on hte date of the 2021 stockholder meeting on 09/09/2021. Read SEC document |
| September 09, 2021 Filed Sep 13, 2021 18:04 UTC | ITERIS, INC. ITI · Entity 86402 | Exercise / conversionCommon Stock | 9,569 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-018510 · wf-form4_163157064523277.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,569 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 |
| October 15, 2020 Filed Oct 16, 2020 18:13 UTC | ITERIS, INC. ITI · Entity 86402 | Exercise / conversionRestricted Stock Unit · Derivative | 9,569 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-010531 · edgar.xml · derivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,569 Underlying: Common Stock · 9,569 shares Expires not disclosed 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 represents a contingent right to receive one share of common stock upon the vesting date F2 · derivative.exercise_date: The RSUs shall vest on the earlier of (a) the first anniversary of the Grant Date or (b) the date of the next annual meeting of the Company stockholders occurring after the Grant Date; F3 · derivative.expiration_date: The RSU's expiration will be on the earlier of (a) the first anniversary of the Grant Date or (b) the date of the next annual meeting of the Company stockholders occurring after the Grant Date; Read SEC document |
| September 10, 2020 Filed Sep 14, 2020 13:20 UTC | ITERIS, INC. ITI · Entity 86402 | Exercise / conversionRestricted Stock Unit · Derivative | 4,855 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-20-009713 · edgar.xml · derivative · entry 2 ZANK DENNIS W · CIK 0001182767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,855 shares Expires 2020-09-10 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 represents a contingent right to receive one share of common stock upon the vesting date F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock upon the vesting date F2 · derivative.exercise_date: The RSU's vested on the date of the 2020 Stockholder meeting 09/10/2020 Read SEC document |
| September 10, 2020 Filed Sep 14, 2020 13:20 UTC | ITERIS, INC. ITI · Entity 86402 | Exercise / conversionCommon Stock | 4,855 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-009713 · edgar.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,855 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 21, 2020 Filed Feb 13, 2020 18:10 UTC | ITERIS, INC. ITI · Entity 86402 | Exercise / conversionRestricted Stock Unit · Derivative | 4,855 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-001574 · edgar.xml · derivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,855 Underlying: Common Stock · 4,855 shares Expires not disclosed 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 represents a contingent right to receive one share of common stock upon the vesting date F2 · derivative.exercise_date: The RSU's are exercisable on the vesting date and shall vest on the date of the 2020 annual shareholder meeting or no later than September 12, 2020 F3 · derivative.expiration_date: The RSU's expiration will be on the date of the 2020 annual shareholder meeting or no later than September 12, 2020 Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 11:38 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 20,003 | $98.63 | $1,972,811.88 |
DisclosureSEC source: 0001225208-18-005933 · doc4.xml · nonDerivative · entry 2 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,846 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 $98.50 to $98.71. Read SEC document |
| February 27, 2018 Filed Mar 13, 2018 11:38 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 22 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-005933 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,849 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 21:40 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 3,895 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018904 · doc4.xml · derivative · entry 5 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,895 Underlying: Common Stock · 3,895 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 | 4,220 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018904 · doc4.xml · derivative · entry 4 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,220 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 | 4,220 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018904 · doc4.xml · nonDerivative · entry 2 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,871 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 04, 2017 Filed Dec 19, 2017 21:40 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018904 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,651 Read SEC document |
| November 30, 2017 Filed Dec 1, 2017 21:09 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-017974 · doc4.xml · derivative · entry 5 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 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 21:09 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 2,500 | $0.00 Strike: $37.87 | $0.00 |
DisclosureSEC source: 0001225208-17-017974 · doc4.xml · derivative · entry 4 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,500 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 |
| November 29, 2017 Filed Dec 1, 2017 21:09 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 2,500 | $37.87 | $94,675.00 |
DisclosureSEC source: 0001225208-17-017974 · doc4.xml · nonDerivative · entry 2 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,701 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 |
| November 29, 2017 Filed Dec 1, 2017 21:09 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantCommon Stock | 4,473 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-017974 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,201 F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2014. Read SEC document |
| November 21, 2017 Filed Nov 22, 2017 17:40 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 110 | $0.00 Strike: $48.20 | $0.00 |
DisclosureSEC source: 0001225208-17-017629 · doc4.xml · derivative · entry 4 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,890 Underlying: Common Stock · 110 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. F2 · derivative.exercise_date: The stock option vested 60% on 11/21/2016 and 20% on 11/21/2017, and will vest 20% on 11/21/2018. Read SEC document |
| November 21, 2017 Filed Nov 22, 2017 17:40 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 110 | $48.20 | $5,302.00 |
DisclosureSEC source: 0001225208-17-017629 · doc4.xml · nonDerivative · entry 2 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,728 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 |
| October 02, 2017 Filed Nov 22, 2017 17:40 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 600 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-017629 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,618 Read SEC document |
| August 03, 2017 Filed Aug 8, 2017 15:07 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 121 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-013355 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,218 Read SEC document |
| March 01, 2017 Filed Mar 2, 2017 14:01 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 6,054 | $81.57 | $493,815.09 |
DisclosureSEC source: 0001225208-17-005159 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,339 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 $81.50 to $81.66. Read SEC document |
| February 07, 2017 Filed Feb 8, 2017 14:54 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 12,500 | $76.98 | $962,266.25 |
DisclosureSEC source: 0001225208-17-002632 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,393 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 $76.89 to $77.02. Read SEC document |
| January 03, 2017 Filed Jan 4, 2017 16:56 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 2,500 | $0.00 Strike: $37.87 | $0.00 |
DisclosureSEC source: 0001225208-17-000216 · doc4.xml · derivative · entry 7 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Underlying: Common Stock · 2,500 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. F4 · derivative.exercise_date: Of the 12,500 employee stock options granted on 11/29/2012, 60% vested on 11/29/2015, 20% on 11/29/2016, and 20% will vest on 11/29/2017. Read SEC document |
| January 03, 2017 Filed Jan 4, 2017 16:56 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 7,500 | $0.00 Strike: $48.20 | $0.00 |
DisclosureSEC source: 0001225208-17-000216 · doc4.xml · derivative · entry 6 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 7,500 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: Of the 12,500 employee stock options granted on 11/21/2013, 60% vested on 11/21/2016, 20% will vest on 11/21/2017, and 20% on 11/21/2018. Read SEC document |
| January 03, 2017 Filed Jan 4, 2017 16:56 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: 0001225208-17-000216 · doc4.xml · derivative · entry 5 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 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 2/23/2012, 60% vested on 11/22/2014, 20% on 11/22/2015, and 20% on 11/22/2016. Read SEC document |
| January 03, 2017 Filed Jan 4, 2017 16:56 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 1,310 | $27.10 | $35,501.00 |
DisclosureSEC source: 0001225208-17-000216 · doc4.xml · nonDerivative · entry 3 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,893 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 03, 2017 Filed Jan 4, 2017 16:56 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 2,500 | $37.87 | $94,675.00 |
DisclosureSEC source: 0001225208-17-000216 · doc4.xml · nonDerivative · entry 2 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,583 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 03, 2017 Filed Jan 4, 2017 16:56 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 7,500 | $48.20 | $361,500.00 |
DisclosureSEC source: 0001225208-17-000216 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,083 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, 2016 Filed Dec 19, 2016 18:41 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 3,793 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043460 · doc4.xml · derivative · entry 3 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,793 Underlying: Common Stock · 3,793 shares Expires 2019-12-15 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 · shares: Award of RSUs as a portion of annual bonus under 2012 Stock Incentive Plan. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 18:41 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 4,095 | $73.08 | $299,269.56 |
DisclosureSEC source: 0001225208-16-043460 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,583 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 $73.03 to $73.13. Read SEC document |
| December 13, 2016 Filed Dec 15, 2016 13:37 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 4,095 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043230 · doc4.xml · derivative · entry 4 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,095 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 15, 2016 13:37 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 4,095 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043230 · doc4.xml · nonDerivative · entry 2 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,678 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 09, 2016 Filed Dec 15, 2016 13:37 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 60 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043230 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,583 Read SEC document |
| December 05, 2016 Filed Dec 6, 2016 19:47 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 7,910 | $73.22 | $579,196.30 |
DisclosureSEC source: 0001225208-16-042775 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,643 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 $73.09 to $73.25. Read SEC document |
| November 30, 2016 Filed Dec 2, 2016 21:17 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042611 · doc4.xml · derivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 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 29, 2016 Filed Nov 30, 2016 21:44 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: 0001225208-16-042408 · doc4.xml · derivative · entry 3 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 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 25,000 employee stock options granted on 2/23/2012, 15,000 vested and became exercisable on 11/22/2014; 5,000 on 11/22/2015 and 5,000 on 11/22/2016. Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 21:44 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 3,690 | $27.10 | $99,999.00 |
DisclosureSEC source: 0001225208-16-042408 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,553 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 |
| November 21, 2016 Filed Nov 23, 2016 21:04 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantCommon Stock | 4,054 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042201 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,863 F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/13/2013. Read SEC document |
| November 02, 2016 Filed Nov 17, 2016 14:25 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-041900 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,809 Read SEC document |
| October 28, 2016 Filed Oct 31, 2016 19:42 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 10 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-040853 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,859 Read SEC document |
| September 08, 2016 Filed Sep 12, 2016 11:55 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-039212 · doc4.xml · nonDerivative · entry 1 ZANK DENNIS W · CIK 0001182767 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,869 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.