James E. Bunn - Sep 30, 2021 Form 5 Insider Report for RAYMOND JAMES FINANCIAL INC (RJF)

Role
Pres-GlobEq&Inv Banking-RJA
Signature
/s/ James E. Bunn by Jonathan J. Doyle as Attorney-in-Fact
Stock symbol
RJF
Transactions as of
Sep 30, 2021
Transactions value $
$73,987
Form type
5
Date filed
11/12/2021, 10:36 AM
Next filing
Nov 15, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RJF Common Stock Options Exercise $74K +2K +6.5% $36.99 32.8K Aug 12, 2021 Direct F1, F2
holding RJF Common Stock 1.76K Sep 30, 2021 ESOP F3

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 -2K -100% $0.00* 0 Aug 12, 2021 Common Stock 2K $55.49 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Reflects the adjusted price following the 3-for-2 stock split that occurred on September 21, 2021.
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 Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through September 30, 2021, but was adjusted to reflect the stock split that occurred on September 21, 2021.
F4 The stock option vested 60% on 11/20/2017, 20% on 11/20/2018, and 20% on 11/20/2019.

Remarks:

This Form 5 reports the exercise of employee stock options by the reporting person on August 12, 2021 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.