Horace Carter - 22 Nov 2022 Form 4 Insider Report for RAYMOND JAMES FINANCIAL INC (RJF)

Role
President, Fixed Income
Signature
/s/ Horace Carter by Jonathan J. Doyle as Attorney-in-Fact
Issuer symbol
RJF
Transactions as of
22 Nov 2022
Net transactions value
$0
Form type
4
Filing time
23 Nov 2022, 08:03:39 UTC
Previous filing
18 Oct 2022
Next filing
01 Dec 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 +2,250 +11% $0.000000 22,014 22 Nov 2022 Direct F1
transaction RJF Common Stock Options Exercise $0 +360 +1.6% $0.000000 22,374 22 Nov 2022 Direct F1
holding RJF Common Stock 1,194 22 Nov 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
transaction RJF Restricted Stock Units Options Exercise $0 -360 -100% $0.000000* 0 22 Nov 2022 Common Stock 360 Direct F1, F3
transaction RJF Restricted Stock Units Options Exercise $0 -2,250 -60% $0.000000 1,500 22 Nov 2022 Common Stock 2,250 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 November 18, 2022.
F3 RSUs vested 60% on 11/22/2020, 20% on 11/22/2021, and 20% on 11/22/2022.
F4 RSUs vested 60% on 11/22/2022 and will vest 20% on 11/22/2023 and 20% on 11/22/2024.

Remarks:

This Form 4 reports the partial vesting of RSUs awarded to the reporting person.