Christopher S. Aisenbrey - Nov 29, 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
Stock symbol
RJF
Transactions as of
Nov 29, 2022
Transactions value $
-$12,575
Form type
4
Date filed
12/1/2022, 11:26 AM
Previous filing
Nov 25, 2022
Next filing
Dec 15, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RJF Common Stock Options Exercise $0 +450 +8.23% $0.00 5.92K Nov 29, 2022 Direct F1
transaction RJF Common Stock Tax liability -$12.6K -109 -1.84% $115.37 5.81K Nov 29, 2022 Direct
holding RJF Common Stock 527 Nov 29, 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 -450 -50% $0.00 450 Nov 29, 2022 Common Stock 450 Direct F1, F3
* 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 11/29/2021, 20% on 11/29/2022, and will vest 20% on 11/29/2023.

Remarks:

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