Form 4 for RJF Raymond James Financial
Accepted 2023-12-18 00:00:00 ET · period of report 2023-12-15 · accession 0001225208-23-011163 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2023-12-18 | 2023-12-15 | RJF | JAMES THOMAS A | COB Emeritus, Dir | M - OptEx | $0.00 | +821 | 17.61M | +0.0% | $0 |
| D | 2023-12-18 | 2023-12-15 | RJF | JAMES THOMAS A | COB Emeritus, Dir | M - OptEx | $0.00 | -821 | 0 | -100% | $0 |
| D | 2023-12-18 | 2023-12-15 | RJF | JAMES THOMAS A | COB Emeritus, Dir | A - Grant | $0.00 | +1,353 | 1,353 | New | $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 | 2023-12-15 | M | A | 821 | $0.00 | 17,606,654 | I By Thomas A. James Family Rev Trust | — | — | (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 | Derivative | Restricted Stock Units | 2023-12-15 | M | D | 821 | $0.00 | 0 | D | — · 2023-12-15 to 2023-12-15 | 821 Common Stock | (F3) The RSU grant was previously reported as covering 547 shares awarded on December 15, 2020, 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. |
| 3 | Derivative | Restricted Stock Units | 2023-12-15 | A | A | 1,353 | $0.00 | 1,353 | D | — · 2026-12-15 to 2026-12-15 | 1,353 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. |