Scott A. Curtis - 07 Sep 2021 Form 4 Insider Report for RAYMOND JAMES FINANCIAL INC (RJF)

Role
President, PCG
Signature
/s/ Scott A. Curtis by Jonathan J. Doyle as Attorney-in-Fact
Issuer symbol
RJF
Transactions as of
07 Sep 2021
Net transactions value
+$295,984
Form type
4
Filing time
08 Sep 2021, 12:18:47 UTC
Previous filing
20 Jul 2021
Next filing
01 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 $295,984 +5,334 +5.7% $55.49 98,673 07 Sep 2021 Direct
holding RJF Common Stock 2,503 07 Sep 2021 ESOP F1

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 Employee Stock Option (right to buy) Options Exercise $0 -5,334 -100% $0.000000* 0 07 Sep 2021 Common Stock 5,334 $55.49 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through September 7, 2021.
F2 On November 20, 2014, the reporting person received a grant of 12,500 stock options. Stock options vested 60% on 11/20/2017, 20% on 11/20/2018, and 20% on 11/20/2019.

Remarks:

This Form 4 reports the partial exercise of employee stock options by the reporting person.