Thomas A. James - Dec 15, 2023 Form 4 Insider Report for RAYMOND JAMES FINANCIAL INC (RJF)

Role
Chairman Emeritus, Director
Signature
/s/ Thomas A. James by Jonathan J. Doyle as Attorney-in-Fact
Stock symbol
RJF
Transactions as of
Dec 15, 2023
Transactions value $
$0
Form type
4
Date filed
12/18/2023, 08:55 AM
Previous filing
Dec 1, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RJF Common Stock Options Exercise $0 +821 +0% $0.00 17.6M Dec 15, 2023 By Thomas A. James Family Rev Trust F1
holding RJF Common Stock 50.6K Dec 15, 2023 By James Ventures, Inc.
holding RJF Common Stock 1.5M Dec 15, 2023 By TA James Ventures Partnership
holding RJF Common Stock 689 Dec 15, 2023 ESOP F2
holding RJF Common Stock 163K Dec 15, 2023 Spouse

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 -821 -100% $0.00* 0 Dec 15, 2023 Common Stock 821 Direct F1, F3
transaction RJF Restricted Stock Units Award $0 +1.35K $0.00 1.35K Dec 15, 2023 Common Stock 1.35K 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 Amount of securities reflects the balance after an IRS mandated required minimum distribution from the ESOP for individuals over age 70 1/2 and the receipt of additional allocations to the reporting person's account under the ESOP through December 11, 2023.
F3 The RSU grant was previously reported as covering 547 shares awarded on December 15, 2020, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F4 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 15, 2020 and (ii) a grant of RSUs as a portion of the annual bonus to the reporting person.