Allison Paul D 4
4 · RAYMOND JAMES FINANCIAL INC · Filed Nov 5, 2020
Insider Transaction Report
Form 4
Allison Paul D
President and CEO RJ Ltd.
Transactions
- Sale
Common Stock
2020-11-04$78.07/sh−4,150$323,992→ 17,231 total - Exercise/Conversion
Common Stock
2020-11-03$48.20/sh+12,500$602,500→ 28,914 total - Exercise/Conversion
Employee Stock Option (right to buy)
2020-11-03−12,500→ 0 totalExercise: $48.20Exp: 2020-11-21→ Common Stock (12,500 underlying) - Tax Payment
Common Stock
2020-11-03$79.98/sh−7,533$602,489→ 21,381 total - Sale
Common Stock
2020-11-04$77.97/sh−1,550$120,846→ 23,950 total(indirect: Rose Allison Holdings Inc.)
Footnotes (5)
- [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 $78.02 to $78.18.
- [F3]Reflects the weighted average sale price. The range of prices for such transaction was $77.94 to $78.03.
- [F4]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.
- [F5]The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018.