JAMES THOMAS A 4
4 · RAYMOND JAMES FINANCIAL INC · Filed Dec 15, 2022
Insider Transaction Report
Form 4
JAMES THOMAS A
DirectorChairman/CEO10% Owner
Transactions
- Exercise/Conversion
Common Stock
2022-12-13+824→ 17,604,604 total(indirect: By Trust) - Exercise/Conversion
Restricted Stock Units
2022-12-13−824→ 0 totalFrom: 2022-12-13Exp: 2022-12-13→ Common Stock (824 underlying) - Award
Restricted Stock Units
2022-12-15+1,360→ 1,360 totalFrom: 2025-12-15Exp: 2025-12-15→ Common Stock (1,360 underlying)
Holdings
- 50,625(indirect: By James Ventures, Inc.)
Common Stock
- 1,500,000(indirect: By Partnership)
Common Stock
- 674(indirect: ESOP)
Common Stock
- 162,730(indirect: By Spouse)
Common Stock
Footnotes (4)
- [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]Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 9, 2022.
- [F3]The RSU grant was previously reported as covering 549 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.
- [F4]Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan.