Form 4 for RJF Raymond James Financial
Accepted 2021-12-01 00:00:00 ET · period of report 2021-11-29 · accession 0001225208-21-014255 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-12-01 | 2021-11-29+ | RJF | Pres, PCG | M - OptEx | $0.00 | +7,500 | 152.2K | +5% | $0 | |
| DM | 2021-12-01 | 2021-11-29+ | RJF | Pres, PCG | F - Tax | $99.66 | -2,950 | 150.7K | -2% | -$294.0K | |
| D | 2021-12-01 | 2021-11-30 | RJF | Pres, PCG | G - Gift | $0.00 | -110 | 152.4K | -0.1% | $0 | |
| DM | 2021-12-01 | 2021-11-29+ | RJF | Pres, PCG | M - OptEx | $0.00 | -7,500 | 3,000 | -71% | $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 | 2021-11-29 | M | A | 4,500 | $0.00 | 152,509 | 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. |
| 2 | Common | Common Stock | 2021-11-30 | F | D | 590 | $98.29 | 152,559 | 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. |
| 3 | Common | Common Stock | 2021-11-30 | F | D | 590 | $98.29 | 153,149 | 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. |
| 4 | Common | Common Stock | 2021-11-30 | M | A | 1,500 | $0.00 | 153,739 | 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. |
| 5 | Common | Common Stock | 2021-11-30 | M | A | 1,500 | $0.00 | 152,239 | 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. |
| 6 | Common | Common Stock | 2021-11-29 | F | D | 1,770 | $100.57 | 150,739 | 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. |
| 7 | Common | Common Stock | 2021-11-30 | G | D | 110 | $0.00 | 152,449 | 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. |
| 8 | Derivative | Restricted Stock Units | 2021-11-30 | M | D | 1,500 | $0.00 | 1,500 | D | — · — to 2022-11-30 | 1,500 Common Stock | (F9) The RSU grant was previously reported as covering 5,000 shares awarded on November 30, 2017, of which 2,000 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. (F8) RSUs vested 60% on 11/30/2020, 20% on 11/30/2021, and will vest 20% on 11/30/2022. |
| 9 | Derivative | Restricted Stock Units | 2021-11-30 | M | D | 1,500 | $0.00 | 0 | D | — · — to 2021-11-30 | 1,500 Common Stock | (F7) The RSU grant was previously reported as covering 5,000 shares awarded on November 30, 2016, of which 1,000 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. (F6) RSUs vested 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021. |
| 10 | Derivative | Restricted Stock Units | 2021-11-29 | M | D | 4,500 | $0.00 | 3,000 | D | — · — to 2023-11-29 | 4,500 Common Stock | (F5) The RSU grant was previously reported as covering 5,000 shares awarded on November 29, 2018, 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 11/29/2021, will vest 20% on 11/29/2022, and 20% on 11/29/2023. |