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Raymond James Wealth Management Ltd — Director's Dealing 2021
Feb 2, 2021
10792_dirs_2021-02-02_88d3ec10-9138-4ec9-acd4-d6c02020aaf3.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: 2021-01-29
Reporting Person: Allison Paul D (Chair, President & CEO RJ Ltd.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-01-29 | Common Stock | M | 12500.0000 | $55.4900 | Acquired | 32554.0000 | Direct |
| 2021-01-29 | Common Stock | F | 6941.0000 | $99.9300 | Disposed | 25613.0000 | Direct |
| 2021-02-01 | Common Stock | S | 7000.0000 | $100.9514 | Disposed | 18613.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-01-29 | Employee Stock Option (right to buy) | $55.4900 | M | 12500.0000 | Disposed | 2021-11-20 | Common Stock (12500.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 23950.0000 | Indirect |
Footnotes
F1: 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.
F2: Reflects the weighted average sale price. The range of prices for such transaction was $100.89 to $100.99.
F3: A corporation that is wholly owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F4: Stock options vested 60% on 11/20/2017, 20% on 11/20/2018, and 20% on 11/20/2019.