JAMES THOMAS A 4
4 · RAYMOND JAMES FINANCIAL INC · Filed Dec 18, 2023
Insider Transaction Report
Form 4
JAMES THOMAS A
DirectorChairman/CEO10% Owner
Transactions
- Award
Restricted Stock Units
2023-12-15+1,353→ 1,353 totalFrom: 2026-12-15Exp: 2026-12-15→ Common Stock (1,353 underlying) - Exercise/Conversion
Common Stock
2023-12-15+821→ 17,606,654 total(indirect: By Trust) - Exercise/Conversion
Restricted Stock Units
2023-12-15−821→ 0 totalFrom: 2023-12-15Exp: 2023-12-15→ Common Stock (821 underlying)
Holdings
- 162,730(indirect: By Spouse)
Common Stock
- 50,625(indirect: By James Ventures, Inc.)
Common Stock
- 689(indirect: ESOP)
Common Stock
- 1,500,000(indirect: By Partnership)
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]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 December 11, 2023.
- [F3]The RSU grant was previously reported as covering 547 shares awarded on December 15, 2020, 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.