Tapewire

NYSE · USD

RJF

RAYMOND JAMES FINANCIAL INC

Export transactions ↓
Tapewire entity
3126
SEC CIK
0000720005
Parsed reports
1,007

Last 12 months

Inside the activity.

0 purchase rows · 8 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202503
Jan 202600
Feb 202601
Mar 202601
Apr 202600
May 202600
Jun 202600
Jul 202602
Aug 202601
Sep 202600
Oct 202600

Latest available

Insider transactions

JSON API
Reset

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
November 29, 2023 Filed Dec 1, 2023 13:40 UTC
Allaire Bella LoykhterExecutive Vice President-RJA
Tax withholdingCommon Stock 330 $102.73 $33,900.90
Disclosure

SEC source: 0001225208-23-010562 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,180

Read SEC document
November 29, 2023 Filed Dec 1, 2023 13:40 UTC
Allaire Bella LoykhterExecutive Vice President-RJA
Exercise / conversionCommon Stock 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010562 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,510

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.

F2 · 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.

Read SEC document
November 29, 2023 Filed Dec 1, 2023 13:40 UTC
Bunn James EPres-GlobEq&Inv Banking-RJA
Exercise / conversionRestricted Stock Units · Derivative 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010563 · doc4.xml · derivative · entry 7

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 · 1,500 shares

Expires 2023-11-29

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.

F2 · 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 vested 60% on 11/29/2021, 20% on 11/29/2022, and 20% on 11/29/2023.

Read SEC document
November 29, 2023 Filed Dec 1, 2023 13:40 UTC
Bunn James EPres-GlobEq&Inv Banking-RJA
Tax withholdingCommon Stock 603 $102.73 $61,946.19
Disclosure

SEC source: 0001225208-23-010563 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,956

Read SEC document
November 29, 2023 Filed Dec 1, 2023 13:40 UTC
Bunn James EPres-GlobEq&Inv Banking-RJA
Exercise / conversionCommon Stock 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010563 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,559

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.

F2 · 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.

Read SEC document
November 29, 2023 Filed Dec 1, 2023 13:39 UTC
Shoukry Paul MChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 900 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010561 · doc4.xml · derivative · entry 7

Shoukry Paul M · CIK 0001798349 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 900 shares

Expires 2023-11-29

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.

F2 · 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 vested 60% on 11/29/2021, 20% on 11/29/2022, and 20% on 11/29/2023.

Read SEC document
November 29, 2023 Filed Dec 1, 2023 13:39 UTC
Shoukry Paul MChief Financial Officer
Tax withholdingCommon Stock 219 $102.73 $22,497.87
Disclosure

SEC source: 0001225208-23-010561 · doc4.xml · nonDerivative · entry 3

Shoukry Paul M · CIK 0001798349 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,221

Read SEC document
November 29, 2023 Filed Dec 1, 2023 13:39 UTC
Shoukry Paul MChief Financial Officer
Exercise / conversionCommon Stock 900 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010561 · doc4.xml · nonDerivative · entry 2

Shoukry Paul M · CIK 0001798349 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,440

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.

F2 · 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.

Read SEC document
November 29, 2023 Filed Dec 1, 2023 13:38 UTC
Elwyn Tashtego SCEO & President - RJA
Exercise / conversionRestricted Stock Units · Derivative 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010560 · doc4.xml · derivative · entry 9

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,500 shares

Expires 2023-11-29

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.

F2 · 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 · derivative.exercise_date: RSUs vested 60% on 11/29/2021, 20% on 11/29/2022, and 20% on 11/29/2023.

Read SEC document
November 29, 2023 Filed Dec 1, 2023 13:38 UTC
Elwyn Tashtego SCEO & President - RJA
Tax withholdingCommon Stock 365 $102.73 $37,496.45
Disclosure

SEC source: 0001225208-23-010560 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,177

Read SEC document
November 29, 2023 Filed Dec 1, 2023 13:38 UTC
Elwyn Tashtego SCEO & President - RJA
Exercise / conversionCommon Stock 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010560 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,542

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.

F2 · 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.

Read SEC document
November 29, 2023 Filed Dec 1, 2023 13:38 UTC
Carter HoracePresident, Fixed Income
Exercise / conversionRestricted Stock Units · Derivative 450 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010559 · doc4.xml · derivative · entry 4

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 450 shares

Expires 2023-11-29

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: RSUs vested 60% on 11/29/2021, 20% on 11/29/2022, and 20% on 11/29/2023.

Read SEC document
November 29, 2023 Filed Dec 1, 2023 13:38 UTC
Carter HoracePresident, Fixed Income
Exercise / conversionCommon Stock 450 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010559 · doc4.xml · nonDerivative · entry 1

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,715

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.

Read SEC document
November 22, 2023 Filed Nov 24, 2023 18:23 UTC
Carter HoracePresident, Fixed Income
Exercise / conversionRestricted Stock Units · Derivative 750 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010423 · doc4.xml · derivative · entry 3

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 750

Underlying: Common Stock · 750 shares

Expires 2024-11-22

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: RSUs vested 60% on 11/22/2022, 20% on 11/22/2023, and will vest 20% on 11/22/2024.

Read SEC document
November 22, 2023 Filed Nov 24, 2023 18:23 UTC
Carter HoracePresident, Fixed Income
Exercise / conversionCommon Stock 750 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010423 · doc4.xml · nonDerivative · entry 1

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,265

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.

Read SEC document
November 22, 2023 Filed Nov 24, 2023 16:17 UTC
Elwyn Tashtego SCEO & President - RJA
Exercise / conversionRestricted Stock Units · Derivative 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010421 · doc4.xml · derivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2024-11-22

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 · derivative.exercise_date: RSUs vested 60% on 11/22/2022, 20% on 11/22/2023, and will vest 20% on 11/22/2024.

Read SEC document
November 22, 2023 Filed Nov 24, 2023 16:17 UTC
Elwyn Tashtego SCEO & President - RJA
Tax withholdingCommon Stock 365 $104.27 $38,058.55
Disclosure

SEC source: 0001225208-23-010421 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,890

Read SEC document
November 22, 2023 Filed Nov 24, 2023 16:17 UTC
Elwyn Tashtego SCEO & President - RJA
Exercise / conversionCommon Stock 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010421 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,255

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.

Read SEC document
November 22, 2023 Filed Nov 24, 2023 16:55 UTC
Allaire Bella LoykhterExecutive Vice President-RJA
Exercise / conversionRestricted Stock Units · Derivative 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010422 · doc4.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2024-11-22

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: RSUs vested 60% on 11/22/2022, 20% on 11/22/2023, and will vest 20% on 11/22/2024.

Read SEC document
November 22, 2023 Filed Nov 24, 2023 16:55 UTC
Allaire Bella LoykhterExecutive Vice President-RJA
Tax withholdingCommon Stock 330 $104.27 $34,409.10
Disclosure

SEC source: 0001225208-23-010422 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,244

Read SEC document
November 22, 2023 Filed Nov 24, 2023 16:55 UTC
Allaire Bella LoykhterExecutive Vice President-RJA
Exercise / conversionCommon Stock 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010422 · 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: 83,574

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.

Read SEC document
November 22, 2023 Filed Nov 24, 2023 15:10 UTC
Santelli Jonathan NEVP, Gen Counsel, Secy
Exercise / conversionRestricted Stock Units · Derivative 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010410 · doc4.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2024-11-22

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: RSUs vested 60% on 11/22/2022, 20% on 11/22/2023, and will vest 20% on 11/22/2024.

Read SEC document
November 22, 2023 Filed Nov 24, 2023 15:10 UTC
Santelli Jonathan NEVP, Gen Counsel, Secy
Tax withholdingCommon Stock 365 $104.27 $38,058.55
Disclosure

SEC source: 0001225208-23-010410 · 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: 16,955

Read SEC document
November 22, 2023 Filed Nov 24, 2023 15:10 UTC
Santelli Jonathan NEVP, Gen Counsel, Secy
Exercise / conversionCommon Stock 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010410 · 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: 17,320

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.

Read SEC document
November 22, 2023 Filed Nov 24, 2023 14:48 UTC
Oorlog Jonathan W JRSVP & Chief Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 600 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010407 · doc4.xml · derivative · entry 4

Oorlog Jonathan W JR · CIK 0001825440 · SVP & Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 600

Underlying: Common Stock · 600 shares

Expires 2024-11-22

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: RSUs vested 60% on 11/22/2022, 20% on 11/22/2023, and will vest 20% on 11/22/2024.

Read SEC document
November 22, 2023 Filed Nov 24, 2023 14:48 UTC
Oorlog Jonathan W JRSVP & Chief Accounting Officer
Tax withholdingCommon Stock 146 $104.27 $15,223.42
Disclosure

SEC source: 0001225208-23-010407 · doc4.xml · nonDerivative · entry 2

Oorlog Jonathan W JR · CIK 0001825440 · SVP & Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,790

Read SEC document
November 22, 2023 Filed Nov 24, 2023 14:48 UTC
Oorlog Jonathan W JRSVP & Chief Accounting Officer
Exercise / conversionCommon Stock 600 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010407 · doc4.xml · nonDerivative · entry 1

Oorlog Jonathan W JR · CIK 0001825440 · SVP & Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,936

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.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 21:20 UTC
Raney Steven MPresident & CEO RJBank
Exercise / conversionRestricted Stock Units · Derivative 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010448 · doc4.xml · derivative · entry 4

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2024-11-22

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 · derivative.exercise_date: RSUs vested 60% on 11/22/2022, 20% on 11/22/2023, and will vest 20% on 11/22/2024.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 21:20 UTC
Raney Steven MPresident & CEO RJBank
Tax withholdingCommon Stock 330 $104.27 $34,409.10
Disclosure

SEC source: 0001225208-23-010448 · doc4.xml · nonDerivative · entry 2

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,920

F2 · balance_after: Includes 58 shares of common stock acquired on March 2, 2023, 68 shares of common stock acquired on June 2, 2023, and 58 shares of common stock acquired on September 5, 2023, pursuant to the registrant's Employee Stock Purchase Plan.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 21:20 UTC
Raney Steven MPresident & CEO RJBank
Exercise / conversionCommon Stock 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010448 · doc4.xml · nonDerivative · entry 1

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,250

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.

F2 · balance_after: Includes 58 shares of common stock acquired on March 2, 2023, 68 shares of common stock acquired on June 2, 2023, and 58 shares of common stock acquired on September 5, 2023, pursuant to the registrant's Employee Stock Purchase Plan.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:08 UTC
Shoukry Paul MChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010431 · doc4.xml · derivative · entry 4

Shoukry Paul M · CIK 0001798349 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2024-11-22

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: RSUs vested 60% on 11/22/2022, 20% on 11/22/2023, and will vest 20% on 11/22/2024.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:08 UTC
Shoukry Paul MChief Financial Officer
Tax withholdingCommon Stock 365 $104.27 $38,058.55
Disclosure

SEC source: 0001225208-23-010431 · doc4.xml · nonDerivative · entry 2

Shoukry Paul M · CIK 0001798349 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,835

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:08 UTC
Shoukry Paul MChief Financial Officer
Exercise / conversionCommon Stock 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010431 · doc4.xml · nonDerivative · entry 1

Shoukry Paul M · CIK 0001798349 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,200

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.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:07 UTC
REILLY PAUL CDirector · Chair & CEO
Exercise / conversionRestricted Stock Units · Derivative 3,750 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010430 · doc4.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 3,750 shares

Expires 2024-11-22

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: RSUs vested 60% on 11/22/2022, 20% on 11/22/2023, and will vest 20% on 11/22/2024.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:07 UTC
REILLY PAUL CDirector · Chair & CEO
Tax withholdingCommon Stock 1,387 $104.27 $144,622.49
Disclosure

SEC source: 0001225208-23-010430 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 243,113

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:07 UTC
REILLY PAUL CDirector · Chair & CEO
Exercise / conversionCommon Stock 3,750 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010430 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 244,500

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.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:06 UTC
Perry JodiPresident, ICD for RJFS
Exercise / conversionRestricted Stock Units · Derivative 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010429 · doc4.xml · derivative · entry 4

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2024-11-22

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: RSUs vested 60% on 11/22/2022, 20% on 11/22/2023, and will vest 20% on 11/22/2024.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:06 UTC
Perry JodiPresident, ICD for RJFS
Tax withholdingCommon Stock 365 $104.27 $38,058.55
Disclosure

SEC source: 0001225208-23-010429 · doc4.xml · nonDerivative · entry 2

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,285

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:06 UTC
Perry JodiPresident, ICD for RJFS
Exercise / conversionCommon Stock 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010429 · doc4.xml · nonDerivative · entry 1

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,650

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.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:04 UTC
Curtis Scott APresident, PCG
Exercise / conversionRestricted Stock Units · Derivative 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010428 · doc4.xml · derivative · entry 4

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2024-11-22

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: RSUs vested 60% on 11/22/2022, 20% on 11/22/2023, and will vest 20% on 11/22/2024.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:04 UTC
Curtis Scott APresident, PCG
Tax withholdingCommon Stock 330 $104.27 $34,409.10
Disclosure

SEC source: 0001225208-23-010428 · doc4.xml · nonDerivative · entry 2

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,261

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:04 UTC
Curtis Scott APresident, PCG
Exercise / conversionCommon Stock 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010428 · doc4.xml · nonDerivative · entry 1

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,591

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.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:03 UTC
Dowdle Jeffrey ACOO & Head of Asset Mgmt.
Exercise / conversionRestricted Stock Units · Derivative 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010427 · doc4.xml · derivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2024-11-22

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 · derivative.exercise_date: RSUs vested 60% on 11/22/2022, 20% on 11/22/2023, and will vest 20% on 11/22/2024.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:03 UTC
Dowdle Jeffrey ACOO & Head of Asset Mgmt.
Tax withholdingCommon Stock 330 $104.27 $34,409.10
Disclosure

SEC source: 0001225208-23-010427 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,440

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:03 UTC
Dowdle Jeffrey ACOO & Head of Asset Mgmt.
Exercise / conversionCommon Stock 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010427 · 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: 41,770

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.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:02 UTC
Catanese GeorgeChief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 900 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010426 · doc4.xml · derivative · entry 5

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 900

Underlying: Common Stock · 900 shares

Expires 2024-11-22

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: RSUs vested 60% on 11/22/2022, 20% on 11/22/2023, and will vest 20% on 11/22/2024.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:02 UTC
Catanese GeorgeChief Risk Officer
GiftCommon Stock 1,000 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010426 · doc4.xml · nonDerivative · entry 3

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,783

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:02 UTC
Catanese GeorgeChief Risk Officer
Tax withholdingCommon Stock 198 $104.27 $20,645.46
Disclosure

SEC source: 0001225208-23-010426 · doc4.xml · nonDerivative · entry 2

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,783

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:02 UTC
Catanese GeorgeChief Risk Officer
Exercise / conversionCommon Stock 900 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010426 · doc4.xml · nonDerivative · entry 1

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,981

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.

Read SEC document
November 22, 2023 Filed Nov 27, 2023 12:02 UTC
Bunn James EPres-GlobEq&Inv Banking-RJA
Exercise / conversionRestricted Stock Units · Derivative 1,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-23-010425 · 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: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2024-11-22

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: RSUs vested 60% on 11/22/2022, 20% on 11/22/2023, and will vest 20% on 11/22/2024.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.