Christopher S. Aisenbrey - 22 Nov 2022 Form 4 Insider Report for RAYMOND JAMES FINANCIAL INC (RJF)

Role
Chief Human Resources Officer
Signature
/s/ Christopher S. Aisenbrey by Jonathan J. Doyle as Attorney-in-Fact
Issuer symbol
RJF
Transactions as of
22 Nov 2022
Net transactions value
-$91,899
Form type
4
Filing time
25 Nov 2022, 12:33:33 UTC
Previous filing
01 Mar 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 +2,700 +86% $0.000000 5,851 22 Nov 2022 Direct F1
transaction RJF Common Stock Options Exercise $0 +360 +6.2% $0.000000 6,211 22 Nov 2022 Direct F1
transaction RJF Common Stock Tax liability $10,746 -87 -1.4% $123.52 6,124 22 Nov 2022 Direct
transaction RJF Common Stock Tax liability $81,153 -657 -11% $123.52 5,467 22 Nov 2022 Direct
holding RJF Common Stock 527 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 -2,700 -60% $0.000000 1,800 22 Nov 2022 Common Stock 2,700 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 (i) the partial vestings of RSUs awarded to the reporting person and (ii) dispositions by the reporting person to the issuer to cover the tax liability in connection with such vesting.