| 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 | -4.5K | -60% | $0.00 | 3K | Nov 29, 2021 | Common Stock | 4.5K | Direct | F1, F5, F6 | |
| transaction | RJF | Restricted Stock Units | Options Exercise | $0 | -1.5K | -100% | $0.00* | 0 | Nov 30, 2021 | Common Stock | 1.5K | Direct | F1, F7, F8 | |
| transaction | RJF | Restricted Stock Units | Options Exercise | $0 | -1.5K | -50% | $0.00 | 1.5K | Nov 30, 2021 | Common Stock | 1.5K | Direct | F1, F9, F10 |
| 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. Includes 179 shares of common stock acquired on September 2, 2021 pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021. |
| F3 | Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 22, 2021, but was adjusted to reflect the stock split that occurred on September 21, 2021. |
| F4 | 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. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| F5 | RSUs vested 60% on 11/29/2021, will vest 20% on 11/29/2022, and 20% on 11/29/2023. |
| F6 | The RSU grant was previously reported as covering 5,000 shares awarded on November 29, 2018, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. |
| F7 | RSUs vested 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021. |
| F8 | The RSU grant was previously reported as covering 5,000 shares awarded on November 30, 2016, of which 1,000 shares remained outstanding, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. |
| F9 | RSUs vested 60% on 11/30/2020, 20% on 11/30/2021, and will vest 20% on 11/30/2022. |
| F10 | The RSU grant was previously reported as covering 5,000 shares awarded on November 30, 2017, of which 2,000 shares remained outstanding, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. |
This Form 4 reports (i) the partial vesting 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 vesting, and (iii) revised balances in holdings of the registrant's common stock after giving effect to a 3-for-2 stock split by means of a stock dividend that was effected on September 21, 2021.