Christopher S. Aisenbrey - 29 Nov 2023 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
29 Nov 2023
Net transactions value
-$79,361
Form type
4
Filing time
01 Dec 2023, 09:28:30 UTC
Previous filing
27 Nov 2023
Next filing
18 Dec 2023
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 +450 +6.8% $0.000000 7,050 29 Nov 2023 Direct F1
transaction RJF Common Stock Tax liability $11,198 -109 -1.5% $102.73 6,941 29 Nov 2023 Direct
transaction RJF Common Stock Options Exercise $0 +2,700 +39% $0.000000 9,641 30 Nov 2023 Direct F1
transaction RJF Common Stock Tax liability $68,164 -657 -6.8% $103.75 8,984 30 Nov 2023 Direct
holding RJF Common Stock 589 29 Nov 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 -450 -100% $0.000000* 0 29 Nov 2023 Common Stock 450 Direct F1, F3
transaction RJF Restricted Stock Units Options Exercise $0 -2,700 -60% $0.000000 1,800 30 Nov 2023 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 20, 2023.
F3 RSUs vested 60% on 11/29/2021, 20% on 11/29/2022, and 20% on 11/29/2023.
F4 RSUs vested 60% on 11/30/2023 and will vest 20% on 11/30/2024 and 20% on 11/30/2025.

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 vestings.