Form 4 for RJF Raymond James Financial
Accepted 2021-11-23 00:00:00 ET · period of report 2021-11-22 · accession 0001225208-21-014073 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-11-23 | 2021-11-22 | RJF | Oorlog Jonathan W JR | Senior VP, Ctrl | F - Tax | $98.64 | -107 | 9,878 | -1% | -$10.6K |
| D | 2021-11-23 | 2021-11-22 | RJF | Oorlog Jonathan W JR | Senior VP, Ctrl | M - OptEx | $0.00 | +450 | 9,985 | +5% | $0 |
| D | 2021-11-23 | 2021-11-22 | RJF | Oorlog Jonathan W JR | Senior VP, Ctrl | A - Grant | $0.00 | +4,584 | 4,584 | New | $0 |
| D | 2021-11-23 | 2021-11-22 | RJF | Oorlog Jonathan W JR | Senior VP, Ctrl | M - OptEx | $0.00 | -450 | 450 | -50% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-11-22 | F | D | 107 | $98.64 | 9,878 | D | — | — | (F2) On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's ownership of additional shares of common stock. |
| 2 | Common | Common Stock | 2021-11-22 | M | A | 450 | $0.00 | 9,985 | D | — | — | (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) On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's ownership of additional shares of common stock. |
| 3 | Derivative | Restricted Stock Units | 2021-11-22 | A | A | 4,584 | $0.00 | 4,584 | D | — · — to 2026-11-30 | 4,584 Common Stock | (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. (F6) RSUs vest 60% on 11/30/2024, 20% on 11/30/2025, and 20% on 11/30/2026. |
| 4 | Derivative | Restricted Stock Units | 2021-11-22 | M | D | 450 | $0.00 | 450 | D | — · — to 2022-11-22 | 450 Common Stock | (F5) The RSU grant was previously reported as covering 1,500 shares awarded on November 22, 2017, of which 600 shares remained outstanding, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. (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. (F4) RSUs vested 60% on 11/22/2020, 20% on 11/22/2021, and will vest 20% on 11/22/2022. |