JAMES THOMAS A 4

4 · RAYMOND JAMES FINANCIAL INC · Filed Dec 16, 2021

Form 4

Period: 2021-12-14

DirectorChairman/CEO10% Owner

Transactions

Exercise/Conversion
Restricted Stock Units
2021-12-14−5,459→ 0 total
From: 2021-12-14Exp: 2021-12-14→ Common Stock (5,459 underlying)
Exercise/Conversion
Common Stock
2021-12-14+5,459→ 17,602,700 total(indirect: By Trust)
Award
Restricted Stock Units
2021-12-15+519→ 519 total
From: 2024-12-15Exp: 2024-12-15→ Common Stock (519 underlying)

Holdings

Footnotes (5)

[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]The reporting person is the trustee of the trust. 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.
[F3]Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 6, 2021.
[F4]The RSU grant was previously reported as covering 3,639 shares awarded on December 14, 2018, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
[F5]Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan.

Documents

1 file