Bella Loykhter Allaire - 29 Nov 2024 Form 4 Insider Report for RAYMOND JAMES FINANCIAL INC (RJF)

Role
Chief Admin Officer
Signature
/s/ Bella Loykhter Allaire by Jonathan J. Doyle as Attorney-in-Fact
Issuer symbol
RJF
Transactions as of
29 Nov 2024
Net transactions value
-$1,081,605
Form type
4
Filing time
03 Dec 2024, 17:29:06 UTC
Previous filing
26 Nov 2024
Next filing
17 Dec 2024
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 $198,229 -1,170 -1.4% $169.43 80,421 29 Nov 2024 Direct
transaction RJF Common Stock Options Exercise $0 +3,793 +4.7% $0.000000 84,214 30 Nov 2024 Direct F1
transaction RJF Common Stock Options Exercise $0 +1,500 +1.8% $0.000000 85,714 30 Nov 2024 Direct F1
transaction RJF Common Stock Tax liability $88,364 -522 -0.61% $169.28 85,192 30 Nov 2024 Direct
transaction RJF Common Stock Tax liability $223,450 -1,320 -1.5% $169.28 83,872 30 Nov 2024 Direct
transaction RJF Common Stock Sale $571,562 -3,451 -4.1% $165.62 80,421 03 Dec 2024 Direct F2, F3
holding RJF Common Stock 1,193 29 Nov 2024 ESOP F4

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 -1,500 -50% $0.000000 1,500 30 Nov 2024 Common Stock 1,500 Direct F1, F5
transaction RJF Restricted Stock Units Options Exercise $0 -3,793 -60% $0.000000 2,528 30 Nov 2024 Common Stock 3,793 Direct F1, F6
* 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 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.
F3 Reflects the weighted average sale price. The range of prices for such transaction was $165.62 to $165.71.
F4 Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 20, 2024.
F5 RSUs vested 60% on 11/30/2023, 20% on 11/30/2024, and will vest 20% on 11/30/2025.
F6 RSUs vested 60% on 11/30/2024 and will vest 20% on 11/30/2025 and 20% on 11/30/2026.

Remarks:

This Form 4 reports (i) the partial vestings of RSUs awarded to the reporting person, (ii) dispositions by the reporting person to the issuer to cover the tax liability in connection with such vestings, and (iii) open market sales by the reporting person of shares of common stock.