| Accession Number: | 0001225208-21-014262 |
| Date: | 2021-11-29 |
| Issuer: | RAYMOND JAMES FINANCIAL INC (RJF) |
| Original Submission Date: |
ALLAIRE BELLA LOYKHTER
880 CARILLON PARKWAY
ST. PETERSBURG, FL 33716
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | 2021-11-29 | M | 4,500 | a | $0.00 | 76,700 | direct | ||
| COMMON STOCK | 2021-11-29 | F | 1,095 | d | $100.57 | 75,605 | direct | ||
| COMMON STOCK | 2021-11-30 | M | 2,100 | a | $0.00 | 77,705 | direct | ||
| COMMON STOCK | 2021-11-30 | M | 1,500 | a | $0.00 | 79,205 | direct | ||
| COMMON STOCK | 2021-11-30 | F | 452 | d | $98.29 | 78,753 | direct | ||
| COMMON STOCK | 2021-11-30 | F | 633 | d | $98.29 | 78,120 | direct | ||
| COMMON STOCK | 2021-11-29 | 0 | $0.00 | 993 | indirect |
| 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 Exercisable | Expiration 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 | 2021-11-29 | deemed execution date | M | 4,500 (d) | 2023-11-29 | common stock 4,500 | $0.00 | 3,000 | direct | ||
| RESTRICTED STOCK UNITS | 0.0 | 2021-11-30 | deemed execution date | M | 2,100 (d) | 2021-11-30 | common stock 2,100 | $0.00 | 0 | direct | ||
| RESTRICTED STOCK UNITS | 0.0 | 2021-11-30 | deemed execution date | M | 1,500 (d) | 2022-11-30 | common stock 1,500 | $0.00 | 1,500 | direct |
| ID | footnote |
|---|---|
| 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 | includes shares of common stock acquired under the reporting person's employee stock ownership plan (esop) account through november 22, 2021. |
| f3 | rsus vested 60% on 11/29/2021, will vest 20% on 11/29/2022, and 20% on 11/29/2023. |
| f4 | the rsu grant was previously reported as covering 5,000 shares awarded on november 29, 2018, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on september 21, 2021. |
| f5 | rsus vested 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021. |
| f6 | the rsu grant was previously reported as covering 7,000 shares awarded on november 30, 2016, of which 1,400 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. |
| f7 | rsus vested 60% on 11/30/2020, 20% on 11/30/2021, and will vest 20% on 11/30/2022. |
| f8 | the rsu grant was previously reported as covering 5,000 shares awarded on november 30, 2017 of which 2,000 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. |
