THOMAS A. JAMES - 30 Sep 2021 Form 5 Insider Report for RAYMOND JAMES FINANCIAL INC (RJF)

Role
Chairman Emeritus, Director
Signature
/s/ Thomas A. James by Jonathan J. Doyle as Attorney-in-Fact
Issuer symbol
RJF
Transactions as of
30 Sep 2021
Transactions value $
$0
Form type
5
Filing time
15 Nov 2021, 11:25:01 UTC
Next filing
03 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RJF Common Stock Will/Inheritance $0 +400 +0.37% $0.00 108K 12 Apr 2021 Spouse F1
holding RJF Common Stock 1.35K 30 Sep 2021 By Harbus Investors, Inc. F2
holding RJF Common Stock 50.6K 30 Sep 2021 By James Ventures, Inc. F2
holding RJF Common Stock 664K 30 Sep 2021 By Robert A. James Trust F3
holding RJF Common Stock 1.5M 30 Sep 2021 By TA James Ventures Partnership F2
holding RJF Common Stock 17.6M 30 Sep 2021 By Thomas A. James Family Rev Trust F2
holding RJF Common Stock 677 30 Sep 2021 ESOP F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Reports the balance of common stock held prior to the RJF 3-for-2 stock split that occurred on September 21, 2021. After the RJF stock split, the amount of securities beneficially owned indirectly as of September 30, 2021 was 162,730 shares of common stock.
F2 On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's indirect ownership of additional shares of common stock.
F3 The reporting person is the trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's indirect ownership of additional shares of common stock.
F4 Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through September 30, 2021, but was adjusted to reflect the stock split that occurred on September 21, 2021.

Remarks:

This Form 5 reports an acquisition of common stock by the spouse of the reporting person on April 12, 2021 and revised balances in holdings of the registrant's common stock after giving effect to a 3-for-2 stock split by means of a stock dividend that was effected on September 21, 2021.