Form 4 for RJF Raymond James Financial
Accepted 2023-12-01 00:00:00 ET · period of report 2023-11-29 · accession 0001225208-23-010559 · 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 | 2023-12-01 | 2023-11-29+ | RJF | Carter Horace | Pres, Fixed Income | M - OptEx | $0.00 | +4,950 | 25.2K | +24% | $0 |
| DM | 2023-12-01 | 2023-11-29+ | RJF | Carter Horace | Pres, Fixed Income | M - OptEx | $0.00 | -4,950 | 3,000 | -62% | $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 | 2023-11-29 | M | A | 450 | $0.00 | 20,715 | 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 | 2023-11-30 | M | A | 4,500 | $0.00 | 25,215 | 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. |
| 3 | Derivative | Restricted Stock Units | 2023-11-29 | M | D | 450 | $0.00 | 0 | D | — · — to 2023-11-29 | 450 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. (F3) RSUs vested 60% on 11/29/2021, 20% on 11/29/2022, and 20% on 11/29/2023. |
| 4 | Derivative | Restricted Stock Units | 2023-11-30 | M | D | 4,500 | $0.00 | 3,000 | D | — · — to 2025-11-30 | 4,500 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. (F4) RSUs vested 60% on 11/30/2023 and will vest 20% on 11/30/2024 and 20% on 11/30/2025. |