Scott A. Curtis - 14 Dec 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
14 Dec 2021
Net transactions value
-$141,515
Form type
4
Filing time
16 Dec 2021, 12:45:31 UTC
Previous filing
06 Dec 2021
Next filing
05 Jan 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RJF Common Stock Gift $0 -500 -0.32% $0.000000 156,990 09 Dec 2021 Direct
transaction RJF Common Stock Options Exercise $0 +3,969 +2.5% $0.000000 160,959 14 Dec 2021 Direct F1
transaction RJF Common Stock Tax liability $141,515 -1,468 -0.91% $96.40 159,491 14 Dec 2021 Direct
holding RJF Common Stock 3,771 14 Dec 2021 ESOP F2

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 -3,969 -100% $0.000000* 0 14 Dec 2021 Common Stock 3,969 Direct F1, F3
transaction RJF Restricted Stock Units Award $0 +3,112 $0.000000 3,112 15 Dec 2021 Common Stock 3,112 Direct F1, F4
* 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 Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 6, 2021.
F3 The RSU grant was previously reported as covering 2,646 shares awarded on December 14, 2018, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F4 Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan.

Remarks:

This Form 4 reports (i) the gift of shares by the reporting person, (ii) a grant of RSUs under the issuer's Amended and Restated 2012 Stock Incentive Plan as a portion of the annual bonus to the reporting person, (iii) the vesting of RSUs awarded to the reporting person on December 14, 2018, and (iv) a disposition by the reporting person to the issuer to cover tax liability in connection with such vesting.