Filing Details
- Accession Number:
- 0001225208-22-012848
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-12-15 17:30:55
- Reporting Period:
- 2022-12-13
- Accepted Time:
- 2022-12-15 17:30:55
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 720005 | Raymond James Financial Inc | RJF | Security Brokers, Dealers & Flotation Companies (6211) | 591517485 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1240439 | C Paul Reilly | 880 Carillon Parkway St. Petersburg FL 33716 | Chair & Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2022-12-13 | 38,736 | $0.00 | 305,847 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-12-13 | 14,332 | $111.52 | 291,515 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2022-12-14 | 24,016 | $111.27 | 267,499 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2022-12-13 | 38,736 | $0.00 | 38,736 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2022-12-15 | 11,788 | $0.00 | 11,788 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2022-12-15 | 30,853 | $0.00 | 30,853 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2022-12-13 | 2022-12-13 | No | 4 | M | Direct |
| 11,788 | 2027-12-15 | No | 4 | A | Direct | |
| 30,853 | 2025-12-15 | 2025-12-15 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,773 | Indirect | ESOP |
Footnotes
- 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.
- 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.
- Reflects the weighted average sale price. The range of prices for such transaction was $111.00 to $111.55.
- Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 9, 2022.
- The RSU grant was previously reported as covering 25,824 shares awarded on December 13, 2019, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
- RSUs vest 60% on 12/15/2025, 20% on 12/15/2026, and 20% on 12/15/2027.
- Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan.
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