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Raymond James Wealth Management Ltd — Director's Dealing 2021
Dec 1, 2021
10792_dirs_2021-12-01_888747c7-dbee-4c03-9439-7a8ccf68ea1e.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: 2021-11-29
Reporting Person: Allaire Bella Loykhter (Executive Vice President-RJA)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-29 | Common Stock | M | 4500.0000 | — | Acquired | 76700.0000 | Direct |
| 2021-11-29 | Common Stock | F | 1095.0000 | $100.5700 | Disposed | 75605.0000 | Direct |
| 2021-11-30 | Common Stock | M | 2100.0000 | — | Acquired | 77705.0000 | Direct |
| 2021-11-30 | Common Stock | M | 1500.0000 | — | Acquired | 79205.0000 | Direct |
| 2021-11-30 | Common Stock | F | 452.0000 | $98.2900 | Disposed | 78753.0000 | Direct |
| 2021-11-30 | Common Stock | F | 633.0000 | $98.2900 | Disposed | 78120.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-29 | Restricted Stock Units | $ | M | 4500.0000 | Disposed | 2023-11-29 | Common Stock (4500.0000) | Direct |
| 2021-11-30 | Restricted Stock Units | $ | M | 2100.0000 | Disposed | 2021-11-30 | Common Stock (2100.0000) | Direct |
| 2021-11-30 | Restricted Stock Units | $ | M | 1500.0000 | Disposed | 2022-11-30 | Common Stock (1500.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 993.0000 | 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: Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 22, 2021.
F3: RSUs vested 60% on 11/29/2021, will vest 20% on 11/29/2022, and 20% on 11/29/2023.
F4: The RSU grant was previously reported as covering 5,000 shares awarded on November 29, 2018, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F5: RSUs vested 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021.
F6: The RSU grant was previously reported as covering 7,000 shares awarded on November 30, 2016, of which 1,400 shares remained outstanding, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F7: RSUs vested 60% on 11/30/2020, 20% on 11/30/2021, and will vest 20% on 11/30/2022.
F8: The RSU grant was previously reported as covering 5,000 shares awarded on November 30, 2017 of which 2,000 shares remained outstanding, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.