JAMES THOMAS A 4
4 · RAYMOND JAMES FINANCIAL INC · Filed Nov 17, 2022
Insider Transaction Report
Form 4
JAMES THOMAS A
DirectorChairman/CEO10% Owner
Transactions
- Sale
Common Stock
2022-11-15$123.80/sh−1,350$167,131→ 0 total(indirect: By Harbus Investors, Inc.)
Holdings
- 17,602,700(indirect: By Trust)
Common Stock
- 674(indirect: ESOP)
Common Stock
- 162,730(indirect: By Spouse)
Common Stock
- 50,625(indirect: By James Ventures, Inc.)
Common Stock
- 1,500,000(indirect: By Partnership)
Common Stock
Footnotes (3)
- [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 $123.80 to $123.82.
- [F3]Amount of securities reflects the balance after an IRS mandated required minimum distribution from the ESOP for individuals over age 70 1/2 and the receipt of additional allocations to the reporting person's account under the ESOP through November 15, 2022.