RJF

SEC source: 0001225208-24-002938 · doc4.xml · nonDerivative · entry 1

Gates Anne · CIK 0001660111 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,581

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

SEC source: 0001225208-24-002937 · doc4.xml · derivative · entry 3

Esty Benjamin · CIK 0001325337 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,711

Underlying: Common Stock · 1,643 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-24-002937 · doc4.xml · derivative · entry 2

Esty Benjamin · CIK 0001325337 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,354

Underlying: Common Stock · 1,711 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

SEC source: 0001225208-24-002937 · doc4.xml · nonDerivative · entry 1

Esty Benjamin · CIK 0001325337 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,527

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

SEC source: 0001225208-24-002936 · doc4.xml · derivative · entry 9

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,395

Underlying: Common Stock · 1,643 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-24-002936 · doc4.xml · derivative · entry 8

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,357

Underlying: Common Stock · 319 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-24-002936 · doc4.xml · derivative · entry 7

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,038

Underlying: Common Stock · 319 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-24-002936 · doc4.xml · derivative · entry 6

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,676

Underlying: Common Stock · 342 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

SEC source: 0001225208-24-002936 · doc4.xml · derivative · entry 5

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,334

Underlying: Common Stock · 342 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

SEC source: 0001225208-24-002936 · doc4.xml · derivative · entry 4

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,992

Underlying: Common Stock · 1,711 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

SEC source: 0001225208-24-002936 · doc4.xml · nonDerivative · entry 3

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,642

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

SEC source: 0001225208-24-002936 · doc4.xml · nonDerivative · entry 2

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,323

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

SEC source: 0001225208-24-002936 · doc4.xml · nonDerivative · entry 1

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,004

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

SEC source: 0001225208-24-002923 · doc4.xml · derivative · entry 1

MCDANIEL RAYMOND W · CIK 0001195306 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,711

Underlying: Common Stock · 1,711 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

SEC source: 0001225208-24-002881 · doc4.xml · derivative · entry 1

Reid Shannon B · CIK 0002005047 · President, ICD for RJFS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2029-02-28

F1 · derivative.exercise_price: 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 · derivative.exercise_date: RSUs vest 60% on 2/28/2027, 20% on 2/28/2028, and 20% on 2/28/2029.

SEC source: 0001225208-24-002880 · doc4.xml · derivative · entry 3

DEBEL MARLENE · CIK 0001770295 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,711

Underlying: Common Stock · 1,643 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-24-002880 · doc4.xml · derivative · entry 2

DEBEL MARLENE · CIK 0001770295 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,354

Underlying: Common Stock · 1,711 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

SEC source: 0001225208-24-002880 · doc4.xml · nonDerivative · entry 1

DEBEL MARLENE · CIK 0001770295 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,856

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

SEC source: 0001225208-24-002876 · doc4.xml · derivative · entry 3

DUTKOWSKY ROBERT M · CIK 0001247747 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,711

Underlying: Common Stock · 1,643 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-24-002876 · doc4.xml · derivative · entry 2

DUTKOWSKY ROBERT M · CIK 0001247747 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,354

Underlying: Common Stock · 1,711 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

SEC source: 0001225208-24-002876 · doc4.xml · nonDerivative · entry 1

DUTKOWSKY ROBERT M · CIK 0001247747 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,149

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

SEC source: 0001225208-24-002875 · doc4.xml · derivative · entry 3

MCGEARY RODERICK C · CIK 0001206884 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,711

Underlying: Common Stock · 1,643 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-24-002875 · doc4.xml · derivative · entry 2

MCGEARY RODERICK C · CIK 0001206884 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,354

Underlying: Common Stock · 1,711 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

SEC source: 0001225208-24-002875 · doc4.xml · nonDerivative · entry 1

MCGEARY RODERICK C · CIK 0001206884 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,087

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

SEC source: 0001225208-24-002874 · doc4.xml · nonDerivative · entry 1

Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,657

F1 · shares: The reporting person effected multiple gifts on the same day in different amounts.

SEC source: 0001225208-24-002872 · doc4.xml · derivative · entry 3

Edwards Jeffrey N · CIK 0001293146 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,711

Underlying: Common Stock · 1,643 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-24-002872 · doc4.xml · derivative · entry 2

Edwards Jeffrey N · CIK 0001293146 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,354

Underlying: Common Stock · 1,711 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2025.

SEC source: 0001225208-24-002872 · doc4.xml · nonDerivative · entry 1

Edwards Jeffrey N · CIK 0001293146 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,577

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

SEC source: 0001225208-24-001901 · doc4.xml · nonDerivative · entry 1

GARCIA ART A · CIK 0001183585 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 879

SEC source: 0001225208-24-001351 · doc4.xml · nonDerivative · entry 2

Santelli Jonathan N · CIK 0001672865 · EVP, Gen Counsel, Secy

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,491

SEC source: 0001225208-24-001351 · doc4.xml · nonDerivative · entry 1

Santelli Jonathan N · CIK 0001672865 · EVP, Gen Counsel, Secy

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,464

SEC source: 0001225208-24-000234 · doc4.xml · nonDerivative · entry 1

REILLY PAUL C · CIK 0001240439 · Director · Chair & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 248,208

SEC source: 0001225208-24-000194 · doc4.xml · nonDerivative · entry 1

Bunn James E · CIK 0001706890 · Pres-GlobEq&Inv Banking-RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,072

SEC source: 0001225208-24-000192 · doc4.xml · nonDerivative · entry 1

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 179,454

SEC source: 0001225208-24-000190 · doc4.xml · nonDerivative · entry 1

Allaire Bella Loykhter · CIK 0001537767 · Executive Vice President-RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,049

SEC source: 0001225208-24-000189 · doc4.xml · nonDerivative · entry 1

Santelli Jonathan N · CIK 0001672865 · EVP, Gen Counsel, Secy

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,382

SEC source: 0001225208-24-000188 · doc4.xml · nonDerivative · entry 1

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,256

SEC source: 0001225208-24-000187 · doc4.xml · nonDerivative · entry 1

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,941

SEC source: 0001225208-24-000186 · doc4.xml · nonDerivative · entry 1

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,131

SEC source: 0001225208-24-000185 · doc4.xml · nonDerivative · entry 1

Dowdle Jeffrey A · CIK 0001541020 · COO & Head of Asset Mgmt.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,829

SEC source: 0001225208-24-000183 · doc4.xml · nonDerivative · entry 1

Shoukry Paul M · CIK 0001798349 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,666

SEC source: 0001225208-24-000184 · doc4.xml · nonDerivative · entry 1

Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,853

SEC source: 0001225208-23-011203 · doc4.xml · derivative · entry 8

Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,735

Underlying: Common Stock · 4,735 shares

Expires 2026-12-15

F1 · derivative.exercise_price: 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.

F6 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan.

SEC source: 0001225208-23-011203 · doc4.xml · derivative · entry 7

Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,768 shares

Expires 2023-12-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F5 · balance_after: The RSU grant was previously reported as covering 1,845 shares awarded on December 15, 2020, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

SEC source: 0001225208-23-011203 · doc4.xml · derivative · entry 6

Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,411

Underlying: Common Stock · 5,411 shares

Expires 2028-12-15

F1 · derivative.exercise_price: 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.

F4 · derivative.exercise_date: RSUs vest 60% on 12/15/2026, 20% on 12/15/2027, and 20% on 12/15/2028.

SEC source: 0001225208-23-011203 · doc4.xml · nonDerivative · entry 2

Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,941

SEC source: 0001225208-23-011203 · doc4.xml · nonDerivative · entry 1

Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,030

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

SEC source: 0001225208-23-011202 · doc4.xml · derivative · entry 6

Bunn James E · CIK 0001706890 · Pres-GlobEq&Inv Banking-RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,353

Underlying: Common Stock · 1,353 shares

Expires 2026-12-15

F1 · derivative.exercise_price: 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.

F5 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan.

SEC source: 0001225208-23-011202 · doc4.xml · derivative · entry 5

Bunn James E · CIK 0001706890 · Pres-GlobEq&Inv Banking-RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,176 shares

Expires 2023-12-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F4 · balance_after: The RSU grant was previously reported as covering 4,784 shares awarded on December 15, 2020, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

SEC source: 0001225208-23-011202 · doc4.xml · derivative · entry 4

Bunn James E · CIK 0001706890 · Pres-GlobEq&Inv Banking-RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,411

Underlying: Common Stock · 5,411 shares

Expires 2028-12-15

F1 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: RSUs vest 60% on 12/15/2026, 20% on 12/15/2027, and 20% on 12/15/2028.