Form 4 for RJF Raymond James Financial
Accepted 2021-12-01 00:00:00 ET · period of report 2021-11-29 · accession 0001225208-21-014273 · 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 | Raney Steven M | Pres, CEO RJBank | M - OptEx | $0.00 | +7,500 | 55.8K | +16% | $0 |
| DM | 2021-12-01 | 2021-11-29+ | RJF | Raney Steven M | Pres, CEO RJBank | F - Tax | $99.66 | -1,825 | 55.1K | -3% | -$181.9K |
| DM | 2021-12-01 | 2021-11-29+ | RJF | Raney Steven M | Pres, CEO RJBank | M - OptEx | $0.00 | -7,500 | 1,500 | -83% | $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 | 53,915 | 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. Includes 23 shares of common stock acquired on June 2, 2021 and 22 shares of common stock acquired on September 2, 2021, pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021. |
| 2 | Common | Common Stock | 2021-11-30 | M | A | 1,500 | $0.00 | 54,320 | 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. Includes 23 shares of common stock acquired on June 2, 2021 and 22 shares of common stock acquired on September 2, 2021, pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021. |
| 3 | Common | Common Stock | 2021-11-29 | F | D | 1,095 | $100.57 | 52,820 | 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. Includes 23 shares of common stock acquired on June 2, 2021 and 22 shares of common stock acquired on September 2, 2021, pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021. |
| 4 | Common | Common Stock | 2021-11-30 | F | D | 365 | $98.29 | 55,455 | 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. Includes 23 shares of common stock acquired on June 2, 2021 and 22 shares of common stock acquired on September 2, 2021, pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021. |
| 5 | Common | Common Stock | 2021-11-30 | M | A | 1,500 | $0.00 | 55,820 | 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. Includes 23 shares of common stock acquired on June 2, 2021 and 22 shares of common stock acquired on September 2, 2021, pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021. |
| 6 | Common | Common Stock | 2021-11-30 | F | D | 365 | $98.29 | 55,090 | 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. Includes 23 shares of common stock acquired on June 2, 2021 and 22 shares of common stock acquired on September 2, 2021, pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021. |
| 7 | 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. |
| 8 | 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. |
| 9 | 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. |