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Raymond James Wealth Management Ltd — Director's Dealing 2021
Dec 16, 2021
10792_dirs_2021-12-16_cc77075e-9d19-4138-8c2e-4b03e8a61b61.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: RAYMOND JAMES FINANCIAL INC (RJF)
CIK: 0000720005
Period of Report: 2021-12-14
Reporting Person: Bunn James E (Pres-GlobEq&Inv Banking-RJA)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-12-14 | Common Stock | M | 9179.0000 | — | Acquired | 44354.0000 | Direct |
| 2021-12-14 | Common Stock | F | 3611.0000 | $96.4000 | Disposed | 40743.0000 | Direct |
| 2021-12-14 | Common Stock | S | 6447.0000 | $96.1517 | Disposed | 34296.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-12-14 | Restricted Stock Units | $ | M | 9179.0000 | Disposed | 2021-12-14 | Common Stock (9179.0000) | Direct |
| 2021-12-15 | Restricted Stock Units | $ | A | 14523.0000 | Acquired | 2024-12-15 | Common Stock (14523.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1768.0000 | Indirect |
Footnotes
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: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
F3: Reflects the weighted average sale price. The range of prices for such transaction was $96.01 to $ 96.45.
F4: Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 6, 2021.
F5: The RSU grant was previously reported as covering 6,119 shares awarded on December 14, 2018, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F6: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan.