Statement of Changes in Beneficial Ownership (4)
27 Maggio 2021 - 9:53PM
Edgar (US Regulatory)
FORM 4
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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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0287
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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
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Santelli Jonathan N |
2. Issuer Name and Ticker or Trading Symbol
RAYMOND JAMES FINANCIAL INC
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RJF
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP, Gen Counsel, Secy |
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(Last)
(First)
(Middle)
880 CARILLON PARKWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/25/2021 |
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(Street)
ST. PETERSBURG, FL 33716
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 5/25/2021 | | M | | 3000.0000 | A | $0 (1) | 6324.0000 | D | |
| Common Stock | 5/25/2021 | | F | | 728.0000 | D | $131.7900 | 5596.0000 | D | |
| Common Stock | 5/26/2021 | | S(2) | | 2272.0000 | D | $133.0266 (3) | 3324.0000 | D | |
| Common Stock | | | | | | | | 200.0000 (4) | I | ESOP |
Table II - Derivative Securities 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 | 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 Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Units | (1) | 5/25/2021 | | M | | | 3000.0000 | (5) | 5/25/2021 | Common Stock | 3000.0000 | $0.0000 | 0.0000 | D | |
| Explanation of Responses: |
| (1) | 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) | The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. |
| (3) | Reflects the weighted average sale price. The range of prices for such transaction was $133.00 to $133.06. |
| (4) | Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through May 25, 2021. |
| (5) | The RSUs vested in five equal annual installments beginning on the first anniversary of the 5/25/2016 grant date, with the last such vesting date occurring on 5/25/2021. |
Remarks:
This Form 4 reports (i) the partial vesting of RSUs awarded to the reporting person, (ii) a disposition by the reporting person to the issuer to cover tax liability in connection with such vesting, and (iii) the open market sale by the reporting person of shares of common stock. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Santelli Jonathan N
880 CARILLON PARKWAY
ST. PETERSBURG, FL 33716 |
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| EVP, Gen Counsel, Secy |
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Signatures
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| /s/ Jonathan N. Santelli by Jonathan J. Doyle as Attorney-in-Fact | | 5/27/2021 |
| **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
