THOMAS A. JAMES - 15 Nov 2022 Form 4 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
15 Nov 2022
Transactions value $
-$167,131
Form type
4
Filing time
17 Nov 2022, 14:06:06 UTC
Previous filing
05 May 2022
Next filing
01 Dec 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RJF Common Stock Sale -$167K -1.35K -100% $123.80 0 15 Nov 2022 By Harbus Investors, Inc. F1, F2
holding RJF Common Stock 50.6K 15 Nov 2022 By James Ventures, Inc.
holding RJF Common Stock 1.5M 15 Nov 2022 By TA James Ventures Partnership
holding RJF Common Stock 17.6M 15 Nov 2022 By Thomas A. James Family Rev Trust
holding RJF Common Stock 674 15 Nov 2022 ESOP F3
holding RJF Common Stock 163K 15 Nov 2022 Spouse
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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 Reflects the weighted average sale price. The range of prices for such transaction was $123.80 to $123.82.
F3 Amount of securities reflects the balance after an IRS mandated required minimum distribution from the ESOP for individuals over age 70 1/2 and the receipt of additional allocations to the reporting person's account under the ESOP through November 15, 2022.

Remarks:

This Form 4 reports the open market sale by the reporting person of shares of common stock.