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4//SEC Filing

JAMES THOMAS A 4

Accession 0001225208-21-015053

CIK 0000720005other
View on SEC.govCompany Profile

Filed

Dec 15, 7:00 PM ET

Accepted

Dec 16, 4:27 PM ET

Size

14.3 KB

Accession

0001225208-21-015053

Insider Transaction Report

Form 4
Period: 2021-12-14
RAYMOND JAMES FINANCIAL INCRJF
JAMES THOMAS A
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

  • Common Stock

    (indirect: By Harbus Investors, Inc.)
    1,350

  • Common Stock

    (indirect: By James Ventures, Inc.)
    50,625

  • Common Stock

    (indirect: By Partnership)
    1,500,000

  • Common Stock

    (indirect: By Trust)
    664,131

  • Common Stock

    (indirect: ESOP)
    679

  • Common Stock

    (indirect: By Spouse)
    162,730
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

Issuer

RAYMOND JAMES FINANCIAL INC

CIK 0000720005

→
Entity typeother

Related Parties

1
  • filerCIK 0001182775

Filing Metadata

Form type
4
Filed
Dec 15, 7:00 PM ET
Accepted
Dec 16, 4:27 PM ET
Size
14.3 KB
View on SEC.gov