Annual Statement of Changes in Beneficial Ownership (5)
15 Novembre 2021 - 6:25PM
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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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
*
JAMES THOMAS A | 2. Issuer Name and Ticker or Trading SymbolRAYMOND JAMES FINANCIAL INC [RJF] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman Emeritus |
(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 | 4/12/2021 | | W4 | 400.0000 | A | $0.0000 | 108487.0000 (1) | I | Spouse |
Common Stock | | | | | | | 1350.0000 (2) | I | By Harbus Investors, Inc. |
Common Stock | | | | | | | 50625.0000 (2) | I | By James Ventures, Inc. |
Common Stock | | | | | | | 664131.0000 (3) | I | By Robert A. James Trust |
Common Stock | | | | | | | 1500000.0000 (2) | I | By TA James Ventures Partnership |
Common Stock | | | | | | | 17590310.0000 (2) | I | By Thomas A. James Family Rev Trust |
Common Stock | | | | | | | 677.0000 (4) | 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 |
Explanation of Responses: |
(1) | Reports the balance of common stock held prior to the RJF 3-for-2 stock split that occurred on September 21, 2021. After the RJF stock split, the amount of securities beneficially owned indirectly as of September 30, 2021 was 162,730 shares of common stock. |
(2) | On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's indirect ownership of additional shares of common stock. |
(3) | The reporting person is the trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's indirect ownership of additional shares of common stock. |
(4) | 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. |
Remarks: This Form 5 reports an acquisition of common stock by the spouse of the reporting person on April 12, 2021 and revised balances in holdings of the registrant's common stock after giving effect to a 3-for-2 stock split by means of a stock dividend that was effected on September 21, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
JAMES THOMAS A 880 CARILLON PARKWAY ST. PETERSBURG, FL 33716 | X |
| Chairman Emeritus |
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Signatures
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/s/ Thomas A. James by Jonathan J. Doyle as Attorney-in-Fact | | 11/15/2021 |
**Signature of Reporting Person | Date |
Grafico Azioni Raymond James Financial (NYSE:RJF)
Storico
Da Mar 2024 a Apr 2024
Grafico Azioni Raymond James Financial (NYSE:RJF)
Storico
Da Apr 2023 a Apr 2024