Paul D. Allison - Sep 30, 2021 Form 4 Insider Report for RAYMOND JAMES FINANCIAL INC (RJF)

Role
Chair, President & CEO RJ Ltd.
Signature
/s/ Paul D. Allison by Jonathan J. Doyle as Attorney-in-Fact
Stock symbol
RJF
Transactions as of
Sep 30, 2021
Transactions value $
$0
Form type
4
Date filed
10/4/2021, 04:11 PM
Next filing
Dec 3, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RJF Common Stock Options Exercise $0 +7.5K +26.86% $0.00 35.4K Sep 30, 2021 Direct F1, F2
holding RJF Common Stock 20.9K Sep 30, 2021 Rose Allison Holdings Inc. F3, 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 -7.5K -100% $0.00* 0 Sep 30, 2021 Common Stock 7.5K Direct F1, F5
* 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 On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's ownership of additional shares of common stock.
F3 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 A corporation that is wholly owned by the reporting person's spouse. 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.
F5 The RSU grant was previously reported as covering 5,000 shares awarded on November 29, 2018, but was adjusted to reflect the stock split that occurred on September 21, 2021.

Remarks:

This Form 4 reports the vesting of RSUs awarded to the reporting person on November 29, 2018 and transactions in the registrant's common stock that occurred following a 3-for-2 stock split by means of a stock dividend that was effected on September 21, 2021 for shareholders of record on September 9, 2021.