Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| RAYMOND JAMES FINANCIAL INCRJF · Entity 3126 | Chief Risk Officer | January 02, 2024 | January 03, 2024 |
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 January 02, 2024 · Filed January 03, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 11,941 |
Reported balance
After 2024-01-02 transaction · row 1
1 source rowRow 1 · 2024-01-02 · Tax withholding · Disposed 250 · Balance 11,941 |
| Common StockSEC Table I · non-derivative | IndirectESOP | 268 |
Reported balance
Holding disclosure · report date 2024-01-02 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 268 F1: Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 29, 2023. |
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 29, 2023.
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 29, 2018 Filed Nov 30, 2018 18:48 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-016002 · doc4.xml · derivative · entry 1 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Underlying: Common Stock · 3,000 shares Expires 2023-11-29 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 11/29/2021, 20% on 11/29/2022, and 20% on 11/29/2023. Read SEC document |
| November 21, 2018 Filed Nov 26, 2018 14:45 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015860 · doc4.xml · derivative · entry 6 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,000 shares Expires 2018-11-21 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. 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 · derivative.exercise_date: The restricted stock units vested 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018. Read SEC document |
| November 21, 2018 Filed Nov 26, 2018 14:45 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $48.20 | $0.00 |
DisclosureSEC source: 0001225208-18-015860 · doc4.xml · derivative · entry 5 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 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 |
| November 21, 2018 Filed Nov 26, 2018 14:45 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 487 | $76.10 | $37,060.70 |
DisclosureSEC source: 0001225208-18-015860 · doc4.xml · nonDerivative · entry 3 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,791 Read SEC document |
| November 21, 2018 Filed Nov 26, 2018 14:45 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015860 · doc4.xml · nonDerivative · entry 2 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,278 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 21, 2018 Filed Nov 26, 2018 14:45 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 5,000 | $48.20 | $241,000.00 |
DisclosureSEC source: 0001225208-18-015860 · doc4.xml · nonDerivative · entry 1 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,278 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 18, 2018 Filed Nov 20, 2018 20:19 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 900 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015716 · doc4.xml · derivative · entry 3 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 600 Underlying: Common Stock · 900 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 | 900 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015716 · doc4.xml · nonDerivative · entry 1 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,278 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 15, 2017 Filed Dec 19, 2017 21:01 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 1,090 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018879 · doc4.xml · derivative · entry 5 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,090 Underlying: Common Stock · 1,090 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 21:01 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 506 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018879 · doc4.xml · derivative · entry 4 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 506 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 21:01 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 506 | $88.29 | $44,674.79 |
DisclosureSEC source: 0001225208-17-018879 · doc4.xml · nonDerivative · entry 2 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,378 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 21:01 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 506 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018879 · doc4.xml · nonDerivative · entry 1 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,884 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 5, 2017 20:16 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 800 | $0.00 Strike: $37.87 | $0.00 |
DisclosureSEC source: 0001225208-17-018194 · doc4.xml · derivative · entry 4 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 800 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 04, 2017 Filed Dec 5, 2017 20:16 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018194 · doc4.xml · nonDerivative · entry 2 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,378 Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 20:16 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 800 | $37.87 | $30,296.00 |
DisclosureSEC source: 0001225208-17-018194 · doc4.xml · nonDerivative · entry 1 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,478 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 30, 2017 Filed Dec 4, 2017 15:10 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018016 · doc4.xml · derivative · entry 1 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Underlying: Common Stock · 3,000 shares Expires 2022-11-30 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 11/30/2020, 20% on 11/30/2021, and 20% on 11/30/2022. Read SEC document |
| November 21, 2017 Filed Nov 22, 2017 22:13 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-017644 · doc4.xml · derivative · entry 4 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 2,000 shares Expires 2018-11-21 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. F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of RJF common stock, and (ii) accrued cash in lieu of dividends. F5 · derivative.exercise_date: The restricted stock units 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 22:13 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 2,000 | $85.63 | $171,264.00 |
DisclosureSEC source: 0001225208-17-017644 · doc4.xml · nonDerivative · entry 2 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,678 F2 · 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. F3 · price: Reflects the weighted average sale price. The range of prices for such transaction was $85.62 to $85.67. Read SEC document |
| November 21, 2017 Filed Nov 22, 2017 22:13 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-017644 · doc4.xml · nonDerivative · entry 1 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,678 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 RJF common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| January 31, 2017 Filed Feb 1, 2017 15:41 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 4,500 | $74.53 | $335,396.70 |
DisclosureSEC source: 0001225208-17-002156 · doc4.xml · nonDerivative · entry 1 Catanese George · CIK 0001340350 · SVP, Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,678 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 $74.51 to $74.62. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 16:08 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 1,072 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043438 · doc4.xml · derivative · entry 3 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,072 Underlying: Common Stock · 1,072 shares Expires 2019-12-15 F2 · 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 2012 Stock Incentive Plan. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 16:08 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 1,179 | $71.89 | $84,762.32 |
DisclosureSEC source: 0001225208-16-043438 · doc4.xml · nonDerivative · entry 1 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,178 Read SEC document |
| December 13, 2016 Filed Dec 15, 2016 13:17 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 341 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043226 · doc4.xml · derivative · entry 4 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 341 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 13:17 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 143 | $71.60 | $10,238.80 |
DisclosureSEC source: 0001225208-16-043226 · doc4.xml · nonDerivative · entry 2 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,357 Read SEC document |
| December 13, 2016 Filed Dec 15, 2016 13:17 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 341 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043226 · doc4.xml · nonDerivative · entry 1 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,500 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 07, 2016 Filed Dec 8, 2016 19:08 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042875 · doc4.xml · nonDerivative · entry 1 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,159 Read SEC document |
| November 30, 2016 Filed Dec 2, 2016 15:09 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042574 · doc4.xml · derivative · entry 1 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 2,000 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 20:21 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 3,200 | $0.00 Strike: $37.87 | $0.00 |
DisclosureSEC source: 0001225208-16-042404 · doc4.xml · derivative · entry 5 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 800 Underlying: Common Stock · 3,200 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 4,000 stock options granted on 11/29/2012, 60% vested on 11/29/2015, 20% on 11/29/2016, and 20% will vest on on 11/29/2017. Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 20:21 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 1,260 | $71.10 | $89,586.00 |
DisclosureSEC source: 0001225208-16-042404 · doc4.xml · nonDerivative · entry 3 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,254 Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 20:21 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 3,200 | $37.87 | $121,184.00 |
DisclosureSEC source: 0001225208-16-042404 · doc4.xml · nonDerivative · entry 2 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,514 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 28, 2016 Filed Nov 30, 2016 20:21 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 6,197 | $71.51 | $443,138.17 |
DisclosureSEC source: 0001225208-16-042404 · doc4.xml · nonDerivative · entry 1 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,314 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 $71.48 to $71.52. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 19:52 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 7,500 | $0.00 Strike: $27.10 | $0.00 |
DisclosureSEC source: 0001225208-16-042189 · doc4.xml · derivative · entry 7 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,500 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. F4 · derivative.exercise_date: The stock options vested 60% on 11/22/2014, 20% on 11/22/2015 and 20% on 11/22/2016. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 19:52 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 2,092 | $73.33 | $153,406.36 |
DisclosureSEC source: 0001225208-16-042189 · doc4.xml · nonDerivative · entry 4 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,511 Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 19:52 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 7,500 | $27.10 | $203,250.00 |
DisclosureSEC source: 0001225208-16-042189 · doc4.xml · nonDerivative · entry 3 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,603 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 19:52 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042189 · doc4.xml · derivative · entry 6 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common Stock · 6,000 shares Expires 2018-11-21 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. 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: The restricted stock units vest 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018. Read SEC document |
| November 21, 2016 Filed Nov 23, 2016 19:52 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 1,640 | $72.32 | $118,604.80 |
DisclosureSEC source: 0001225208-16-042189 · doc4.xml · nonDerivative · entry 2 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,103 Read SEC document |
| November 21, 2016 Filed Nov 23, 2016 19:52 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042189 · doc4.xml · nonDerivative · entry 1 Catanese George · CIK 0001340350 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,743 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.