George Catanese - Dec 14, 2021 Form 4 Insider Report for RAYMOND JAMES FINANCIAL INC (RJF)

Role
Chief Risk Officer
Signature
/s/ George Catanese by Jonathan J. Doyle as Attorney-in-Fact
Stock symbol
RJF
Transactions as of
Dec 14, 2021
Transactions value $
-$38,946
Form type
4
Date filed
12/16/2021, 12:57 PM
Previous filing
Dec 6, 2021
Next filing
Jan 5, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RJF Common Stock Options Exercise $0 +1.09K +10.73% $0.00 11.3K Dec 14, 2021 Direct F1
transaction RJF Common Stock Tax liability -$38.9K -404 -3.59% $96.40 10.9K Dec 14, 2021 Direct
holding RJF Common Stock 159 Dec 14, 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 -1.09K -100% $0.00* 0 Dec 14, 2021 Common Stock 1.09K Direct F1, F3
transaction RJF Restricted Stock Units Award $0 +778 $0.00 778 Dec 15, 2021 Common Stock 778 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 728 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) 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, (ii) the vesting of RSUs awarded to the reporting person on December 14, 2018, and (iii) a disposition by the reporting person to the issuer to cover tax liability in connection with such vesting.