RJF

SEC source: 0001225208-22-012810 · doc4.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,779

Underlying: Common Stock · 5,440 shares

Expires 2027-12-15

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 · derivative.exercise_date: RSUs vest 60% on 12/15/2025, 20% on 12/15/2026, and 20% on 12/15/2027.

SEC source: 0001225208-22-012810 · doc4.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,339

Underlying: Common Stock · 45,339 shares

Expires 2027-12-15

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 · derivative.exercise_date: RSUs vest 60% on 12/15/2025, 20% on 12/15/2026, and 20% on 12/15/2027.

SEC source: 0001225208-22-012854 · doc4.xml · derivative · entry 3

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 907

Underlying: Common Stock · 907 shares

Expires 2025-12-15

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

SEC source: 0001225208-22-012854 · doc4.xml · derivative · entry 2

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,973

Underlying: Common Stock · 4,533 shares

Expires 2027-12-15

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.

F2 · derivative.exercise_date: RSUs vest 60% on 12/15/2025, 20% on 12/15/2026, and 20% on 12/15/2027.

SEC source: 0001225208-22-012854 · doc4.xml · derivative · entry 1

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,440

Underlying: Common Stock · 5,440 shares

Expires 2027-12-15

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.

F2 · derivative.exercise_date: RSUs vest 60% on 12/15/2025, 20% on 12/15/2026, and 20% on 12/15/2027.

SEC source: 0001225208-22-012853 · doc4.xml · derivative · entry 2

Coulter James Robert Edward · CIK 0001902845 · Director & CEO, RJ Ltd.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 775

Underlying: Common Stock · 775 shares

Expires 2025-12-15

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.

F2 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan.

SEC source: 0001225208-22-012853 · doc4.xml · derivative · entry 1

Coulter James Robert Edward · CIK 0001902845 · Director & CEO, RJ Ltd.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,619

Underlying: Common Stock · 4,619 shares

Expires 2025-09-30

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.

SEC source: 0001225208-22-012919 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,406

Underlying: Common Stock · 54,406 shares

Expires 2025-12-15

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.

SEC source: 0001225208-22-012905 · doc4.xml · nonDerivative · entry 2

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,135

SEC source: 0001225208-22-012905 · doc4.xml · nonDerivative · entry 1

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,537

F1 · kind: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.

F2 · price: Reflects the weighted average sale price. The range of prices for such transaction was $107.50 to $107.90.

SEC source: 0001225208-22-012848 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,499

F2 · kind: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.

F3 · price: Reflects the weighted average sale price. The range of prices for such transaction was $111.00 to $111.55.

SEC source: 0001225208-22-012678 · doc4.xml · derivative · entry 7

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 453 shares

Expires 2022-12-13

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 302 shares awarded on December 13, 2019, 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: 0001225208-22-012678 · doc4.xml · nonDerivative · entry 4

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,669

SEC source: 0001225208-22-012678 · doc4.xml · nonDerivative · entry 3

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,847

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: 0001225208-22-012662 · doc4.xml · derivative · entry 8

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 938 shares

Expires 2022-12-13

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 625 shares awarded on December 13, 2019, 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: 0001225208-22-012662 · doc4.xml · nonDerivative · entry 5

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,700

SEC source: 0001225208-22-012662 · doc4.xml · nonDerivative · entry 4

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,069

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: 0001225208-22-012848 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 38,736 shares

Expires 2022-12-13

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 25,824 shares awarded on December 13, 2019, 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: 0001225208-22-012848 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,515

SEC source: 0001225208-22-012848 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,847

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: 0001225208-22-012846 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,019 shares

Expires 2022-12-13

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 · balance_after: The RSU grant was previously reported as covering 2,679 shares awarded on December 13, 2019, 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: 0001225208-22-012846 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,231

SEC source: 0001225208-22-012846 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,718

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: 0001225208-22-012847 · doc4.xml · derivative · entry 4

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,031 shares

Expires 2022-12-13

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 · balance_after: The RSU grant was previously reported as covering 687 shares awarded on December 13, 2019, 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: 0001225208-22-012847 · doc4.xml · nonDerivative · entry 2

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,377

SEC source: 0001225208-22-012847 · doc4.xml · nonDerivative · entry 1

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,758

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: 0001225208-22-012845 · doc4.xml · derivative · entry 6

JAMES THOMAS A · CIK 0001182775 · Director · Chairman Emeritus

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 824 shares

Expires 2022-12-13

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 · balance_after: The RSU grant was previously reported as covering 549 shares awarded on December 13, 2019, 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: 0001225208-22-012845 · doc4.xml · nonDerivative · entry 1

JAMES THOMAS A · CIK 0001182775 · Director · Chairman Emeritus

10b5-1 filing: Not disclosed

Ownership: Indirect · By Thomas A. James Family Rev Trust

Disclosed balance after: 17,604,604

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: 0001225208-22-012844 · doc4.xml · derivative · entry 4

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,606 shares

Expires 2022-12-13

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 · balance_after: The RSU grant was previously reported as covering 2,404 shares awarded on December 13, 2019, 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: 0001225208-22-012844 · doc4.xml · nonDerivative · entry 2

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,630

SEC source: 0001225208-22-012844 · doc4.xml · nonDerivative · entry 1

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,964

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: 0001225208-22-012839 · doc4.xml · derivative · entry 3

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 549 shares

Expires 2022-12-13

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.

SEC source: 0001225208-22-012839 · doc4.xml · nonDerivative · entry 1

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,373

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: 0001225208-22-012843 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,319 shares

Expires 2022-12-13

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 · balance_after: The RSU grant was previously reported as covering 879 shares awarded on December 13, 2019, 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: 0001225208-22-012843 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,818

SEC source: 0001225208-22-012843 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,337

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: 0001225208-22-012831 · doc4.xml · derivative · entry 4

Aisenbrey Christopher S · CIK 0001913663 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 183 shares

Expires 2022-12-13

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.

SEC source: 0001225208-22-012831 · doc4.xml · nonDerivative · entry 2

Aisenbrey Christopher S · CIK 0001913663 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,919

SEC source: 0001225208-22-012831 · doc4.xml · nonDerivative · entry 1

Aisenbrey Christopher S · CIK 0001913663 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,991

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: 0001225208-22-012830 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,606 shares

Expires 2022-12-13

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 2,404 shares awarded on December 13, 2019, 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: 0001225208-22-012830 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,634

SEC source: 0001225208-22-012830 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,968

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: 0001225208-22-012829 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,890 shares

Expires 2022-12-13

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 · balance_after: The RSU grant was previously reported as covering 6,593 shares awarded on December 13, 2019, 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: 0001225208-22-012829 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,147

SEC source: 0001225208-22-012829 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,038

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: 0001225208-22-012825 · doc4.xml · derivative · entry 4

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,979 shares

Expires 2022-12-13

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 1,319 shares awarded on December 13, 2019, 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: 0001225208-22-012825 · doc4.xml · nonDerivative · entry 2

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,114

F2 · balance_after: Includes 53 shares of common stock acquired on December 2, 2022 pursuant to the registrant's Employee Stock Purchase Plan.

SEC source: 0001225208-22-012825 · doc4.xml · nonDerivative · entry 1

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,846

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 53 shares of common stock acquired on December 2, 2022 pursuant to the registrant's Employee Stock Purchase Plan.

SEC source: 0001225208-22-012810 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,090 shares

Expires 2022-12-13

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 2,060 shares awarded on December 13, 2019, 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: 0001225208-22-012810 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,817

F2 · shares: The reporting person effected multiple gifts on the same day in different amounts.