Annual Statement of Changes in Beneficial Ownership (5)
12 Novembre 2021 - 5:36PM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
[X]
Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0362
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Bunn James E | 2. Issuer Name and Ticker or Trading SymbolRAYMOND JAMES FINANCIAL INC [RJF] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Pres-GlobEq&Inv Banking-RJA |
(Last)
(First)
(Middle)
880 CARILLON PARKWAY | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 9/30/2021 |
(Street)
ST. PETERSBURG, FL 33716
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Common Stock | 8/12/2021 | | M4 | 2000.0000 | A | $36.9933 (1) | 32781.0000 (2) | D | |
Common Stock | | | | | | | 1761.0000 (3) | I | ESOP |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (MM/DD/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | $55.4900 | 8/12/2021 | | M4
| | 2000.0000 | (4) | 11/20/2021 | Common Stock | 2000.0000 | $0.0000 | 0.0000 | D | |
Explanation of Responses: |
(1) | Reflects the adjusted price following the 3-for-2 stock split that occurred on September 21, 2021. |
(2) | On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's ownership of additional shares of common stock. |
(3) | Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through September 30, 2021, but was adjusted to reflect the stock split that occurred on September 21, 2021. |
(4) | The stock option vested 60% on 11/20/2017, 20% on 11/20/2018, and 20% on 11/20/2019. |
Remarks: This Form 5 reports the exercise of employee stock options by the reporting person on August 12, 2021 and transactions in the registrant's common stock that occurred following a 3-for-2 stock split by means of a stock dividend that was effected on September 21, 2021 for shareholders of record on September 9, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Bunn James E 880 CARILLON PARKWAY ST. PETERSBURG, FL 33716 |
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| Pres-GlobEq&Inv Banking-RJA |
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Signatures
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/s/ James E. Bunn by Jonathan J. Doyle as Attorney-in-Fact | | 11/12/2021 |
**Signature of Reporting Person | Date |
Grafico Azioni Raymond James Financial (NYSE:RJF)
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Da Apr 2024 a Mag 2024
Grafico Azioni Raymond James Financial (NYSE:RJF)
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Da Mag 2023 a Mag 2024