George Catanese - Dec 13, 2022 Form 4 Insider Report for RAYMOND JAMES FINANCIAL INC (RJF)

Role
Chief Risk Officer
Signature
/s/ George Catanese by Jonathan J. Doyle as Attorney-in-Fact
Stock symbol
RJF
Transactions as of
Dec 13, 2022
Transactions value $
-$42,489
Form type
4
Date filed
12/15/2022, 04:16 PM
Previous filing
Dec 9, 2022
Next filing
Jan 5, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RJF Common Stock Options Exercise $0 +1.03K +8.79% $0.00 12.8K Dec 13, 2022 Direct F1
transaction RJF Common Stock Tax liability -$42.5K -381 -2.99% $111.52 12.4K Dec 13, 2022 Direct
holding RJF Common Stock 211 Dec 13, 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 -1.03K -100% $0.00* 0 Dec 13, 2022 Common Stock 1.03K Direct F1, F3
transaction RJF Restricted Stock Units Award $0 +2.99K $0.00 2.99K Dec 15, 2022 Common Stock 2.99K Direct F1, F4
transaction RJF Restricted Stock Units Award $0 +861 $0.00 861 Dec 15, 2022 Common Stock 861 Direct F1, 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 December 9, 2022.
F3 The RSU grant was previously reported as covering 687 shares awarded on December 13, 2019, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F4 RSUs vest 60% on 12/15/2025, 20% on 12/15/2026, and 20% on 12/15/2027.
F5 Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan.

Remarks:

This Form 4 reports (i) the vesting of RSUs awarded to the reporting person on December 13, 2019, (ii) a disposition by the reporting person to the issuer to cover tax liability in connection with such vesting, (iii) a grant of retention RSUs to the reporting person, and (iv) a grant of RSUs as a portion of the annual bonus to the reporting person.