Form Type: 4

SEC EDGAR Link
Accession Number:0001225208-21-014073
Date:2021-11-22
Issuer: RAYMOND JAMES FINANCIAL INC (RJF)
Original Submission Date:

Reporting Person:

OORLOG JONATHAN W JR
880 CARILLON PARKWAY
ST. PETERSBURG, FL 33716

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-11-22 M 450 a $0.00 9,985 direct
COMMON STOCK 2021-11-22 F 107 d $98.64 9,878 direct
COMMON STOCK 2021-11-22 0 $0.00 2,160 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESTRICTED STOCK UNITS 0.0 2021-11-22 deemed execution date M 450 (d) 2022-11-22 common stock 450 $0.00 450 direct
RESTRICTED STOCK UNITS 0.0 2021-11-22 deemed execution date A 4,584 (a) 2026-11-30 common stock 4,584 $0.00 4,584 direct
Footnotes
IDfootnote
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 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.
f3 includes shares of common stock acquired under the reporting person's employee stock ownership plan (esop) account through november 19, 2021, but was adjusted to reflect the stock split that occurred on september 21, 2021.
f4 rsus vested 60% on 11/22/2020, 20% on 11/22/2021, and will vest 20% on 11/22/2022.
f5 the rsu grant was previously reported as covering 1,500 shares awarded on november 22, 2017, of which 600 shares remained outstanding, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on september 21, 2021.
f6 rsus vest 60% on 11/30/2024, 20% on 11/30/2025, and 20% on 11/30/2026.
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