Form 4 for RJF Raymond James Financial
Accepted 2023-12-18 00:00:00 ET · period of report 2023-12-15 · accession 0001225208-23-011194 · 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 | 2023-12-18 | 2023-12-15 | RJF | Catanese George | CRO | M - OptEx | $0.00 | +759 | 12.5K | +6% | $0 |
| D | 2023-12-18 | 2023-12-15 | RJF | Catanese George | CRO | F - Tax | $110.88 | -280 | 12.2K | -2% | -$31.0K |
| D | 2023-12-18 | 2023-12-15 | RJF | Catanese George | CRO | M - OptEx | $0.00 | -759 | 0 | -100% | $0 |
| DM | 2023-12-18 | 2023-12-15 | RJF | Catanese George | CRO | A - Grant | $0.00 | +3,923 | 947 | 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 | 759 | $0.00 | 12,471 | 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 | 2023-12-15 | F | D | 280 | $110.88 | 12,191 | D | — | — | |
| 3 | Derivative | Restricted Stock Units | 2023-12-15 | M | D | 759 | $0.00 | 0 | D | — · 2023-12-15 to 2023-12-15 | 759 Common Stock | (F4) The RSU grant was previously reported as covering 506 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. |
| 4 | Derivative | Restricted Stock Units | 2023-12-15 | A | A | 2,976 | $0.00 | 2,976 | D | — · — to 2028-12-15 | 2,976 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 vest 60% on 12/15/2026, 20% on 12/15/2027, and 20% on 12/15/2028. |
| 5 | Derivative | Restricted Stock Units | 2023-12-15 | A | A | 947 | $0.00 | 947 | D | — · 2026-12-15 to 2026-12-15 | 947 Common Stock | (F5) 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. |