Jonathan W. Oorlog Jr. - 21 Nov 2022 Form 4 Insider Report for RAYMOND JAMES FINANCIAL INC (RJF)

Role
Senior VP and Controller
Signature
/s/ Jonathan W. Oorlog, Jr. by Jonathan J. Doyle as Attorney-in-Fact
Issuer symbol
RJF
Transactions as of
21 Nov 2022
Net transactions value
-$63,860
Form type
4
Filing time
23 Nov 2022, 15:36:03 UTC
Previous filing
10 Dec 2021
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 +1,800 +16% $0.000000 13,062 22 Nov 2022 Direct F1
transaction RJF Common Stock Options Exercise $0 +450 +3.4% $0.000000 13,512 22 Nov 2022 Direct F1
transaction RJF Common Stock Tax liability $12,723 -103 -0.76% $123.52 13,409 22 Nov 2022 Direct
transaction RJF Common Stock Tax liability $51,137 -414 -3.1% $123.52 12,995 22 Nov 2022 Direct
holding RJF Common Stock 2,241 21 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 Award $0 +2,056 $0.000000 2,056 21 Nov 2022 Common Stock 2,056 Direct F1
transaction RJF Restricted Stock Units Options Exercise $0 -450 -100% $0.000000* 0 22 Nov 2022 Common Stock 450 Direct F1, F3
transaction RJF Restricted Stock Units Options Exercise $0 -1,800 -60% $0.000000 1,200 22 Nov 2022 Common Stock 1,800 Direct F1, F4, 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 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.
F5 The RSU grant was previously reported as covering 2,000 shares awarded on November 22, 2019, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

Remarks:

This Form 4 reports (i) a grant of RSUs to the reporting person, (ii) the partial vestings of RSUs awarded to the reporting person, and (iii) dispositions by the reporting person to the issuer to cover tax liability in connection with such vesting.