Statement of Changes in Beneficial Ownership (4)
23 Novembre 2021 - 8:55PM
Edgar (US Regulatory)
FORM 4
[ ]
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
OMB Number:
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
*
Elwyn Tashtego S |
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)
CEO & President - RJA |
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(Last)
(First)
(Middle)
880 CARILLON PARKWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/16/2021 |
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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 | 11/16/2021 | | G |
V
| 1900.0000 (1) | D | $0.0000 | 43268.0000 (2) | D | |
| Common Stock | | | | | | | | 6888.0000 (3) | I | ESOP |
| Common Stock | | | | | | | | 75.0000 (4) | I | UTMA Custodian for Daughter |
| Common Stock | | | | | | | | 75.0000 (4) | I | UTMA Custodian for Son |
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 |
| Explanation of Responses: |
| (1) | The reporting person effected multiple gifts on the same day in different amounts. |
| (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 November 16, 2021, but was adjusted to reflect the stock split that occurred on September 21, 2021. |
| (4) | 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. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
Remarks:
This Form 4 reports the gift of shares by the reporting person 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 |
Elwyn Tashtego S
880 CARILLON PARKWAY
ST. PETERSBURG, FL 33716 |
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| CEO & President - RJA |
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Signatures
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| /s/ Tashtego S. Elwyn by Jonathan J. Doyle as Attorney-in-Fact | | 11/23/2021 |
| **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
