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Raymond James Wealth Management Ltd — Director's Dealing 2021
Dec 1, 2021
10792_dirs_2021-12-01_cfd1e7e5-2c67-46c0-9d5b-f6aaed1e9da3.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: Elwyn Tashtego S (CEO & President - RJA)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-29 | Common Stock | M | 4500.0000 | — | Acquired | 47768.0000 | Direct |
| 2021-11-29 | Common Stock | F | 1095.0000 | $100.5700 | Disposed | 46673.0000 | Direct |
| 2021-11-30 | Common Stock | M | 1500.0000 | — | Acquired | 48173.0000 | Direct |
| 2021-11-30 | Common Stock | M | 1500.0000 | — | Acquired | 49673.0000 | Direct |
| 2021-11-30 | Common Stock | F | 371.0000 | $98.2900 | Disposed | 49302.0000 | Direct |
| 2021-11-30 | Common Stock | F | 371.0000 | $98.2900 | Disposed | 48931.0000 | 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 | 6888.0000 | Indirect |
| Common Stock | 75.0000 | Indirect |
| Common Stock | 75.0000 | 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: The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
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.