Form 4 for RJF Raymond James Financial
Accepted 2023-12-01 00:00:00 ET · period of report 2023-11-20 · accession 0001225208-23-010603 · 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 | Catanese George | CRO | F - Tax | $103.50 | -792 | 13.6K | -5% | -$82.0K |
| DM | 2023-12-01 | 2023-11-29+ | RJF | Catanese George | CRO | M - OptEx | $0.00 | +3,600 | 16.3K | +28% | $0 |
| D | 2023-12-01 | 2023-11-20 | RJF | Catanese George | CRO | A - Grant | $0.00 | +1,137 | 13.2K | +9% | $0 |
| DM | 2023-12-01 | 2023-11-29+ | RJF | Catanese George | CRO | M - OptEx | $0.00 | -3,600 | 1,800 | -67% | $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 | 2023-11-30 | F | D | 594 | $103.75 | 15,728 | D | — | — | |
| 2 | Common | Common Stock | 2023-11-29 | F | D | 198 | $102.73 | 13,622 | D | — | — | |
| 3 | Common | Common Stock | 2023-11-29 | M | A | 900 | $0.00 | 13,820 | D | — | — | (F2) 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. |
| 4 | Common | Common Stock | 2023-11-20 | A | A | 1,137 | $0.00 | 13,218 | D | — | — | (F1) Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2020. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021. |
| 5 | Common | Common Stock | 2023-11-30 | M | A | 2,700 | $0.00 | 16,322 | D | — | — | (F2) 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. |
| 6 | Derivative | Restricted Stock Units | 2023-11-29 | M | D | 900 | $0.00 | 0 | D | — · — to 2023-11-29 | 900 Common Stock | (F2) 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, 20% on 11/29/2022, and 20% on 11/29/2023. |
| 7 | Derivative | Restricted Stock Units | 2023-11-30 | M | D | 2,700 | $0.00 | 1,800 | D | — · — to 2025-11-30 | 2,700 Common Stock | (F6) The RSU grant was previously reported as covering 3,000 shares awarded on December 3, 2020, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. (F2) 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. (F5) RSUs vested 60% on 11/30/2023 and will vest 20% on 11/30/2024 and 20% on 11/30/2025. |