Horace Carter - 01 Jan 2022 Form 3 Insider Report for RAYMOND JAMES FINANCIAL INC (RJF)

Signature
/s/ Horace Carter by Jonathan J. Doyle as Attorney-in-Fact
Issuer symbol
RJF
Transactions as of
01 Jan 2022
Net transactions value
$0
Form type
3
Filing time
10 Jan 2022, 12:23:09 UTC
Next filing
25 Feb 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding RJF Common Stock 18,433 01 Jan 2022 Direct F1
holding RJF Common Stock 1,129 01 Jan 2022 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
holding RJF Restricted Stock Units 01 Jan 2022 Common Stock 360 Direct F3, F4, F5
holding RJF Restricted Stock Units 01 Jan 2022 Common Stock 3,750 Direct F5, F6, F7
holding RJF Restricted Stock Units 01 Jan 2022 Common Stock 900 Direct F5, F8, F9
holding RJF Restricted Stock Units 01 Jan 2022 Common Stock 7,500 Direct F5, F10, F11
holding RJF Restricted Stock Units 01 Jan 2022 Common Stock 6,113 Direct F5, F12
holding RJF Restricted Stock Units 01 Jan 2022 Common Stock 144 Direct F5, F13
holding RJF Restricted Stock Units 01 Jan 2022 Common Stock 150 Direct F5, F14
holding RJF Restricted Stock Units 01 Jan 2022 Common Stock 446 Direct F5, F15
holding RJF Restricted Stock Units 01 Jan 2022 Common Stock 591 Direct F5, F16
holding RJF Restricted Stock Units 01 Jan 2022 Common Stock 7,836 Direct F5, F17
holding RJF Restricted Stock Units 01 Jan 2022 Common Stock 5,217 Direct F5, F18
holding RJF Restricted Stock Units 01 Jan 2022 Common Stock 549 Direct F5, F19
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 31, 2021, but was adjusted to reflect the stock split that occurred on Septmber 21, 2021.
F3 Of the 1,200 RSUs granted on 11/22/2017, 60% vested on 11/22/2020, 20% vested on 11/22/2021, and 20% will vest on 11/22/2022.
F4 The RSU grant of 1,200 shares awarded on November 22, 2017, of which 240 shares remained outstanding, was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F5 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.
F6 Of the 2,500 RSUs granted on 11/22/2019, 60% will vest on 11/22/2022, 20% will vest on 11/22/2023, and 20% will vest on 11/22/2024.
F7 The RSU grant of 2,500 shares awarded on November 22, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F8 Of the 1,500 RSUs granted on 11/29/2018, 60% vested on 11/29/2021, 20% will vest on 11/29/2022, and 20% will vest on 11/29/2023.
F9 The RSU grant of 1500 shares awarded on November 29, 2018, of which 600 shares remained outstanding, was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F10 Of the 5,000 RSUs granted on 11/23/2020, 60% will vest on 11/30/2023, 20% will vest on 11/30/2024, and 20% will vest on 11/30/2025.
F11 The RSU grant of 5,000 shares awarded on November 23, 2020 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F12 Of the 6,113 RSUs granted on 11/22/2021, 60% will vest on 11/30/2024, 20% will vest on 11/30/2025, and 20% will vest on 11/30/2026.
F13 RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 96 shares awarded on April 15, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F14 RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 100 shares awarded on May 15, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F15 RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 297 shares awarded on July 15, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F16 RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 394 shares awarded on October 15, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F17 RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan.
F18 RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 3,478 shares awarded on December 4, 2020 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F19 RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 366 shares awarded on December 13, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

Remarks:

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