Richard K Riess

CIK 1182228 · View on SEC EDGAR ↗

Insider

First SEC filing: March 11, 2008 · Latest: March 11, 2008

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Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 39 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

39 other filings hidden
Date Ticker Code Shares Price Value Owned after Δ own A/D vs now
Feb. 15, 2011 RJF S 9,000 $38.83 $349,470 16,391 Direct -35.45% Disposed 577.2% (price as of 2026-08-21)
Feb. 1, 2011 RJF S 3,750 $36.81 $138,038 16,391 Direct -18.62% Disposed 614.4% (price as of 2026-08-21)
Jan. 25, 2011 RJF S 11,250 $35.67 $401,288 16,391 Direct -40.70% Disposed 637.2% (price as of 2026-08-21)
Dec. 7, 2010 RJF S 9,689 $30.89 $299,293 16,391 Direct -37.15% Disposed 751.3% (price as of 2026-08-21)
April 27, 2010 RJF S 10,325 $30.04 $310,163 26,080 Direct -28.36% Disposed 775.4% (price as of 2026-08-21)
March 9, 2010 RJF S 2,225 $27.81 $61,877 40,055 Direct -5.26% Disposed 845.6% (price as of 2026-08-21)
Dec. 2, 2009 RJF S 8,457 $24.27 $205,251 38,119 Direct -18.16% Disposed 983.5% (price as of 2026-08-21)
Sept. 15, 2009 RJF S 20,000 $22.87 $457,400 0 Indirect -100.00% Disposed 1049.8% (price as of 2026-08-21)
Sept. 15, 2009 RJF S 26,184 $22.92 $600,137 46,576 Direct -35.99% Disposed 1047.3% (price as of 2026-08-21)
Jan. 28, 2009 RJF S 13,650 $19.96 $272,454 72,760 Direct -15.80% Disposed 1217.5% (price as of 2026-08-21)
March 10, 2008 RJF P 10,000 $21.05 $210,500 20,000 Indirect +100.00% Acquired 1149.2% (price as of 2026-08-21)
Feb. 14, 2008 RJF P 10,000 $25.70 $257,000 10,000 Indirect — Acquired 923.2% (price as of 2026-08-21)
Nov. 27, 2006 RJF S 4,761 $32.07 $152,685 15,534 Direct -23.46% Disposed 720.0% (price as of 2026-08-21)
Feb. 1, 2006 RJF S 9,500 $42.50 $403,750 0 Indirect -100.00% Disposed 828.1% (price as of 2026-08-21)
Feb. 1, 2006 RJF S 250 $42.68 $10,670 9,500 Indirect -2.56% Disposed 824.2% (price as of 2026-08-21)
Dec. 15, 2005 RJF S 3,690 $37.49 $138,338 13,530 Direct -21.43% Disposed 952.1% (price as of 2026-08-21)
Dec. 3, 2004 RJF S 12,300 $30.29 $372,567 0 Indirect -100.00% Disposed 1202.2% (price as of 2026-08-21)
Dec. 3, 2004 RJF S 200 $30.38 $6,076 12,300 Indirect -1.60% Disposed 1198.4% (price as of 2026-08-21)
Dec. 2, 2004 RJF S 2,400 $29.78 $71,472 6,864 Direct -25.91% Disposed 1224.5% (price as of 2026-08-21)
Dec. 2, 2004 RJF S 1,473 $29.79 $43,881 9,264 Direct -13.72% Disposed 1224.1% (price as of 2026-08-21)
May 28, 2004 RJF S 10,000 $25.94 $259,400 12,650 Indirect -44.15% Disposed 1420.6% (price as of 2026-08-21)
July 24, 2003 RJF S 5,000 $34.99 $174,950 20,305 Direct -19.76% Disposed 1591.0% (price as of 2026-08-21)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date Ticker Security Underlying Exercise price Expiration Shares A/D
Dec. 15, 2011 RJF Restricted Stock Units Common Stock (8,937) — Dec. 15, 2014 8,937 Acquired
Feb. 15, 2011 RJF Employee Stock Option (right to buy) Common Stock (9,000) $30.44 Jan. 27, 2013 9,000 Disposed
Feb. 1, 2011 RJF Employee Stock Option (right to buy) Common Stock (3,750) $24.97 Feb. 1, 2012 3,750 Disposed
Jan. 25, 2011 RJF Employee Stock Option (right to buy) Common Stock (11,250) $24.97 Feb. 1, 2012 11,250 Disposed
Dec. 15, 2010 RJF Restricted Stock Units Common Stock (6,581) — Dec. 15, 2013 6,581 Acquired
Nov. 24, 2009 RJF Employee Stock Option (right to buy) Common Stock (25,000) $25.28 Jan. 24, 2015 25,000 Acquired
Nov. 24, 2009 RJF Employee Stock Option (right to buy) Common Stock (25,000) $25.28 Nov. 24, 2015 25,000 Acquired
Jan. 28, 2009 RJF Employee Stock Option (right to buy) Common Stock (16,200) $16.80 Feb. 4, 2009 16,200 Disposed
Nov. 27, 2007 RJF Employee Stock Option (right to buy) Common Stock (15,000) $30.44 Jan. 27, 2013 15,000 Acquired
Jan. 26, 2007 RJF Employee Stock Option (right to buy) Common Stock (9,225) $14.22 Jan. 28, 2007 9,225 Disposed
Dec. 4, 2006 RJF Employee Stock Option (right to buy) Common Stock (1,800) $16.80 Feb. 4, 2009 1,800 Disposed
Dec. 4, 2006 RJF Employee Stock Option (right to buy) Common Stock (13,275) $14.22 Jan. 28, 2007 13,275 Disposed
Dec. 1, 2005 RJF Employee Stock Option (right to buy) Common Stock (2,494) $37.46 Feb. 1, 2011 2,494 Acquired
Dec. 1, 2005 RJF Employee Stock Option (right to buy) Common Stock (7,506) $37.46 Feb. 1, 2011 7,506 Acquired
Jan. 5, 2005 RJF Employee Stock Option (right to buy) Common Stock (9,000) $13.75 Jan. 18, 2005 9,000 Disposed
Jan. 4, 2005 RJF Employee Stock Option (right to buy) Common Stock (750) $13.75 Jan. 18, 2005 750 Disposed

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Compensation (DEF 14A)

Matched by name from proxy statements (DEF 14A) — verify against the filing.

RJF

Fiscal year Salary Bonus Stock awards Option awards Non-equity incentive Pension change Other Total
2009 $270,000 $980,000 $315,272 $146,998 — — $27,311 $1,739,581
2008 $268,000 $1,452,000 $503,145 $81,683 — — $62,522 $2,367,350
2004 $228,750 $1,110,000 — — — — — —

Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.