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

Reporting relationship: Chairman Emeritus, Director
Issuer ticker: RJF
Reported as of: 15 Dec 2023
Net transaction value: $0
SEC form: 4
Accepted by SEC: 18 Dec 2023, 08:55:43 UTC
Prior SEC filing: 01 Dec 2023
Next SEC filing: 26 Jun 2026
Source filing: View source filing
Reporting owner signature: /s/ Thomas A. James by Jonathan J. Doyle as Attorney-in-Fact

Key filing fact

Thomas A. James filed Form 4 for RAYMOND JAMES FINANCIAL INC (RJF) on 18 Dec 2023.

Key facts

This page summarizes Thomas A. James's Form 4 filing for RAYMOND JAMES FINANCIAL INC (RJF).
3 reported transactions and 2 derivative rows are listed below.
Accepted by SEC: 18 Dec 2023, 08:55.

Change

Previous filing in this sequence was filed on 01 Dec 2023.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

RJF transaction

Common Stock

Options Exercise

Transaction value: $0
Shares: +821
Change %: +0%
Price: $0.000000
Shares after: 17,606,654
Date: 15 Dec 2023
Ownership: By Thomas A. James Family Rev Trust
Footnotes: F1

RJF holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 50,625
Date: 15 Dec 2023
Ownership: By James Ventures, Inc.

RJF holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 1,500,000
Date: 15 Dec 2023
Ownership: By TA James Ventures Partnership

RJF holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 689
Date: 15 Dec 2023
Ownership: ESOP
Footnotes: F2

RJF holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 162,730
Date: 15 Dec 2023
Ownership: Spouse

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

RJF transaction Derivative

Restricted Stock Units

Options Exercise

Transaction value: $0
Shares: -821
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 15 Dec 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 821
Exercise price
Footnotes: F1, F3

RJF transaction Derivative

Restricted Stock Units

Award

Transaction value: $0
Shares: +1,353
Change %
Price: $0.000000
Shares after: 1,353
Date: 15 Dec 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 1,353
Exercise price
Footnotes: F1, F4

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 4 footnotes

Footnote 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.

Footnote 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.

Footnote 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.

Footnote F4

Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan.

SEC 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.