Jonathan N. Santelli - Nov 22, 2023 Form 4 Insider Report for RAYMOND JAMES FINANCIAL INC (RJF)

Role
EVP, Gen Counsel, Secy
Signature
/s/ Jonathan N. Santelli by Jonathan J. Doyle as Attorney-in-Fact
Stock symbol
RJF
Transactions as of
Nov 22, 2023
Transactions value $
-$38,059
Form type
4
Date filed
11/24/2023, 10:10 AM
Previous filing
Dec 1, 2023
Next filing
Dec 18, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RJF Common Stock Options Exercise $0 +1.5K +9.48% $0.00 17.3K Nov 22, 2023 Direct F1
transaction RJF Common Stock Tax liability -$38.1K -365 -2.11% $104.27 17K Nov 22, 2023 Direct
holding RJF Common Stock 438 Nov 22, 2023 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 -1.5K -50% $0.00 1.5K Nov 22, 2023 Common Stock 1.5K 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 20, 2023.
F3 RSUs vested 60% on 11/22/2022, 20% on 11/22/2023, and will vest 20% on 11/22/2024.

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.