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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 2270 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
| Employee Stock Option (right to buy) | $35.38 | (2) | 01/22/2017 | Common Stock |
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42,415 |
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| Employee Stock Option (right to buy) | $25.28 | (3) | 01/24/2016 | Common Stock |
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25,000 |
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| Employee Stock Option (right to buy) | $30.44 | 11/27/2010 | 01/27/2014 | Common Stock |
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15,000(4) |
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| Restricted Stock Units | 12/15/2013 | 12/15/2013 | Common Stock |
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9,401 |
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| Restricted Stock Units | 12/15/2014 | 12/15/2014 | Common Stock |
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13,750 |
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| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| HELCK CHESTER B 880 CARILLON PARKWAY ST. PETERSBURG, FL 33716 |
X | Executive Vice President | ||
| /s/ Chester B. Helck by Paul L. Matecki as Attorney-in-Fact | 10/23/2012 | |
| ** Signature of Reporting Person |
Date
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| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Includes number of shares acquired under ESOP through September 30, 2012. |
| (2) | Options becoming exercisable - 25,449 on 11/22/2014, 8,483 on 11/22/2015 and 8,483 on 11/22/2016 |
| (3) | Options becoming exercisable - 15,000 on 11/24/2012, 2,090 on 11/24/2013, 3,955 on 11/24/2014, 3,955 on 01/24/2015 |
| (4) | Options currently exercisable - 12,000; options becoming exercisable - 3,000 on 1/27/2013 |
| (5) | Each restricted stock unit represents a contingent right to receive one share of RJF common stock upon vesting and dividend equivalents. |