Form 4 for RJF Raymond James Financial
Accepted 2023-12-19 00:00:00 ET · period of report 2023-12-15 · accession 0001225208-23-011251 · 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 | 2023-12-19 | 2023-12-15 | RJF | Dowdle Jeffrey A | COO, Head of Asset Mgmt | M - OptEx | $0.00 | +2,768 | 52.8K | +6% | $0 |
| D | 2023-12-19 | 2023-12-15 | RJF | Dowdle Jeffrey A | COO, Head of Asset Mgmt | F - Tax | $110.88 | -1,024 | 51.7K | -2% | -$113.5K |
| DM | 2023-12-19 | 2023-12-15 | RJF | Dowdle Jeffrey A | COO, Head of Asset Mgmt | A - Grant | $0.00 | +8,455 | 3,044 | New | $0 |
| D | 2023-12-19 | 2023-12-15 | RJF | Dowdle Jeffrey A | COO, Head of Asset Mgmt | M - OptEx | $0.00 | -2,768 | 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 | 2023-12-15 | M | A | 2,768 | $0.00 | 52,766 | 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. (F2) Includes 233 shares of common stock acquired on December 4, 2023, pursuant to the registrant's Employee Stock Purchase Plan. |
| 2 | Common | Common Stock | 2023-12-15 | F | D | 1,024 | $110.88 | 51,742 | D | — | — | (F2) Includes 233 shares of common stock acquired on December 4, 2023, pursuant to the registrant's Employee Stock Purchase Plan. |
| 3 | Derivative | Restricted Stock Units | 2023-12-15 | A | A | 5,411 | $0.00 | 5,411 | D | — · — to 2028-12-15 | 5,411 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. (F5) RSUs vest 60% on 12/15/2026, 20% on 12/15/2027, and 20% on 12/15/2028. |
| 4 | Derivative | Restricted Stock Units | 2023-12-15 | A | A | 3,044 | $0.00 | 3,044 | D | — · 2026-12-15 to 2026-12-15 | 3,044 Common Stock | (F7) 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 | 2023-12-15 | M | D | 2,768 | $0.00 | 0 | D | — · 2023-12-15 to 2023-12-15 | 2,768 Common Stock | (F6) The RSU grant was previously reported as covering 1,845 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. |