Bella Loykhter Allaire - 29 Nov 2021 Form 4 Insider Report for RAYMOND JAMES FINANCIAL INC (RJF)

Role
Executive Vice President-RJA
Signature
/s/ Bella Loykhter Allaire by Jonathan J. Doyle as Attorney-in-Fact
Issuer symbol
RJF
Transactions as of
29 Nov 2021
Net transactions value
-$216,769
Form type
4
Filing time
01 Dec 2021, 13:42:36 UTC
Previous filing
23 Nov 2021
Next filing
02 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 Options Exercise $0 +4,500 +6.2% $0.000000 76,700 29 Nov 2021 Direct F1
transaction RJF Common Stock Tax liability $110,124 -1,095 -1.4% $100.57 75,605 29 Nov 2021 Direct
transaction RJF Common Stock Options Exercise $0 +2,100 +2.8% $0.000000 77,705 30 Nov 2021 Direct F1
transaction RJF Common Stock Options Exercise $0 +1,500 +1.9% $0.000000 79,205 30 Nov 2021 Direct F1
transaction RJF Common Stock Tax liability $44,427 -452 -0.57% $98.29 78,753 30 Nov 2021 Direct
transaction RJF Common Stock Tax liability $62,218 -633 -0.8% $98.29 78,120 30 Nov 2021 Direct
holding RJF Common Stock 993 29 Nov 2021 ESOP F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction RJF Restricted Stock Units Options Exercise $0 -4,500 -60% $0.000000 3,000 29 Nov 2021 Common Stock 4,500 Direct F1, F3, F4
transaction RJF Restricted Stock Units Options Exercise $0 -2,100 -100% $0.000000* 0 30 Nov 2021 Common Stock 2,100 Direct F1, F5, F6
transaction RJF Restricted Stock Units Options Exercise $0 -1,500 -50% $0.000000 1,500 30 Nov 2021 Common Stock 1,500 Direct F1, F7, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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 Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 22, 2021.
F3 RSUs vested 60% on 11/29/2021, will vest 20% on 11/29/2022, and 20% on 11/29/2023.
F4 The RSU grant was previously reported as covering 5,000 shares awarded on November 29, 2018, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F5 RSUs vested 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021.
F6 The RSU grant was previously reported as covering 7,000 shares awarded on November 30, 2016, of which 1,400 shares remained outstanding, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F7 RSUs vested 60% on 11/30/2020, 20% on 11/30/2021, and will vest 20% on 11/30/2022.
F8 The RSU grant was previously reported as covering 5,000 shares awarded on November 30, 2017 of which 2,000 shares remained outstanding, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

Remarks:

This Form 4 reports (i) the partial vesting of RSUs awarded to the reporting person and (ii) dispositions by the reporting person to the issuer to cover the tax liability in connection with such vesting.