Form 4 for RJF Raymond James Financial
Accepted 2021-12-16 00:00:00 ET · period of report 2021-12-14 · accession 0001225208-21-015051 · 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 | 2021-12-16 | 2021-12-14 | RJF | Allison Paul D | COB, Pres, CEO RJ Ltd | M - OptEx | $0.00 | +2,507 | 17.1K | +17% | $0 |
| D | 2021-12-16 | 2021-12-10 | RJF | Allison Paul D | COB, Pres, CEO RJ Ltd | G - Gift | $0.00 | -24.0K | 14.6K | -62% | $0 |
| DI | 2021-12-16 | 2021-12-10 | RJF | Allison Paul D | COB, Pres, CEO RJ Ltd | G - Gift | $0.00 | +24.0K | 44.9K | +115% | $0 |
| D | 2021-12-16 | 2021-12-15 | RJF | Allison Paul D | COB, Pres, CEO RJ Ltd | A - Grant | $0.00 | +1,735 | 1,735 | New | $0 |
| D | 2021-12-16 | 2021-12-14 | RJF | Allison Paul D | COB, Pres, CEO RJ Ltd | M - OptEx | $0.00 | -2,507 | 0 | -100% | $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 | 2021-12-14 | M | A | 2,507 | $0.00 | 17,110 | 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. |
| 2 | Common | Common Stock | 2021-12-10 | G | D | 24,000 | $0.00 | 14,603 | D Rose Allison Holdings Inc. | — | — | (F2) A corporation that is wholly owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| 3 | Common | Common Stock | 2021-12-10 | G | A | 24,000 | $0.00 | 44,925 | I | — | — | |
| 4 | Derivative | Restricted Stock Units | 2021-12-15 | A | A | 1,735 | $0.00 | 1,735 | D | — · 2024-12-15 to 2024-12-15 | 1,735 Common Stock | (F4) Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. (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. |
| 5 | Derivative | Restricted Stock Units | 2021-12-14 | M | D | 2,507 | $0.00 | 0 | D | — · 2021-12-14 to 2021-12-14 | 2,507 Common Stock | (F3) The RSU grant was previously reported as covering 1,671 shares awarded on December 14, 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. |