AI assistant
Raymond James Wealth Management Ltd — Director's Dealing 2021
Dec 1, 2021
10792_dirs_2021-12-01_0fac3f20-3e9d-47d4-b824-1e0fd61df4f4.zip
Director's Dealing
Open in viewerOpens in your device viewer
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: Carson John C Jr. (President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-29 | Common Stock | M | 4500.0000 | — | Acquired | 86203.0000 | Direct |
| 2021-11-29 | Common Stock | F | 1095.0000 | $100.5700 | Disposed | 85108.0000 | Direct |
| 2021-11-30 | Common Stock | M | 1500.0000 | — | Acquired | 86608.0000 | Direct |
| 2021-11-30 | Common Stock | M | 1500.0000 | — | Acquired | 88108.0000 | Direct |
| 2021-11-30 | Common Stock | F | 468.0000 | $98.2900 | Disposed | 87640.0000 | Direct |
| 2021-11-30 | Common Stock | F | 468.0000 | $98.2900 | Disposed | 87172.0000 | 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 | 1500.0000 | Disposed | 2021-11-30 | Common Stock (1500.0000) | 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 | 1075.0000 | 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: On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's ownership of additional shares of common stock. Includes 66 shares of common stock acquired on June 2, 2021 and 63 shares of common stock acquired on September 2, 2021, pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021.
F3: Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through November 22, 2021, but was adjusted to reflect the stock split that occurred on September 21, 2021.
F4: RSUs vested 60% on 11/29/2021, will vest 20% on 11/29/2022, and 20% on 11/29/2023.
F5: 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.
F6: RSUs vested 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021.
F7: The RSU grant was previously reported as covering 5,000 shares awarded on November 30, 2016, of which 1,000 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.
F8: RSUs vested 60% on 11/30/2020, 20% on 11/30/2021, and will vest 20% on 11/30/2022.
F9: 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.