Thomas A. James - 14 Dec 2021 Form 4 Insider Report for RAYMOND JAMES FINANCIAL INC (RJF)

Role
Chairman Emeritus, Director
Signature
/s/ Thomas A. James by Jonathan J. Doyle as Attorney-in-Fact
Issuer symbol
RJF
Transactions as of
14 Dec 2021
Net transactions value
$0
Form type
4
Filing time
16 Dec 2021, 15:27:43 UTC
Previous filing
03 Dec 2021
Next filing
05 May 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 Options Exercise $0 +5,459 +0.03% $0.000000 17,602,700 14 Dec 2021 By Thomas A. James Family Rev Trust F1
holding RJF Common Stock 1,350 14 Dec 2021 By Harbus Investors, Inc.
holding RJF Common Stock 50,625 14 Dec 2021 By James Ventures, Inc.
holding RJF Common Stock 664,131 14 Dec 2021 By Robert A. James Trust F2
holding RJF Common Stock 1,500,000 14 Dec 2021 By TA James Ventures Partnership
holding RJF Common Stock 679 14 Dec 2021 ESOP F3
holding RJF Common Stock 162,730 14 Dec 2021 Spouse

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 -5,459 -100% $0.000000* 0 14 Dec 2021 Common Stock 5,459 Direct F1, F4
transaction RJF Restricted Stock Units Award $0 +519 $0.000000 519 15 Dec 2021 Common Stock 519 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 The reporting person is the trustee of the trust. 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.
F3 Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 6, 2021.
F4 The RSU grant was previously reported as covering 3,639 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.
F5 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 and (ii) the vesting of RSUs awarded to the reporting person on December 14, 2018.