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RJF

RAYMOND JAMES FINANCIAL INC

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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

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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 22, 2022 Filed Nov 23, 2022 14:03 UTC
Carter HoracePresident, Fixed Income
Exercise / conversionRestricted Stock Units · Derivative 2,250 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011862 · doc4.xml · derivative · entry 5

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 2,250 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 and will vest 20% on 11/22/2023 and 20% on 11/22/2024.

Read SEC document
November 22, 2022 Filed Nov 23, 2022 14:03 UTC
Carter HoracePresident, Fixed Income
Exercise / conversionRestricted Stock Units · Derivative 360 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011862 · doc4.xml · derivative · entry 4

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 360 shares

Expires 2022-11-22

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 11/22/2020, 20% on 11/22/2021, and 20% on 11/22/2022.

Read SEC document
November 22, 2022 Filed Nov 23, 2022 14:03 UTC
Carter HoracePresident, Fixed Income
Exercise / conversionCommon Stock 360 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011862 · doc4.xml · nonDerivative · entry 2

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,374

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, 2022 Filed Nov 23, 2022 14:03 UTC
Carter HoracePresident, Fixed Income
Exercise / conversionCommon Stock 2,250 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011862 · doc4.xml · nonDerivative · entry 1

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,014

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, 2022 Filed Nov 25, 2022 18:33 UTC
Aisenbrey Christopher SChief Human Resources Officer
Exercise / conversionRestricted Stock Units · Derivative 2,700 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011919 · doc4.xml · derivative · entry 7

Aisenbrey Christopher S · CIK 0001913663 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,800

Underlying: Common Stock · 2,700 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 and will vest 20% on 11/22/2023 and 20% on 11/22/2024.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 18:33 UTC
Aisenbrey Christopher SChief Human Resources Officer
Exercise / conversionRestricted Stock Units · Derivative 360 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011919 · doc4.xml · derivative · entry 6

Aisenbrey Christopher S · CIK 0001913663 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 360 shares

Expires 2022-11-22

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 11/22/2020, 20% on 11/22/2021, and 20% on 11/22/2022.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 18:33 UTC
Aisenbrey Christopher SChief Human Resources Officer
Tax withholdingCommon Stock 657 $123.52 $81,152.64
Disclosure

SEC source: 0001225208-22-011919 · doc4.xml · nonDerivative · entry 4

Aisenbrey Christopher S · CIK 0001913663 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,467

Read SEC document
November 22, 2022 Filed Nov 25, 2022 18:33 UTC
Aisenbrey Christopher SChief Human Resources Officer
Tax withholdingCommon Stock 87 $123.52 $10,746.24
Disclosure

SEC source: 0001225208-22-011919 · doc4.xml · nonDerivative · entry 3

Aisenbrey Christopher S · CIK 0001913663 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,124

Read SEC document
November 22, 2022 Filed Nov 25, 2022 18:33 UTC
Aisenbrey Christopher SChief Human Resources Officer
Exercise / conversionCommon Stock 360 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011919 · doc4.xml · nonDerivative · entry 2

Aisenbrey Christopher S · CIK 0001913663 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,211

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, 2022 Filed Nov 25, 2022 18:33 UTC
Aisenbrey Christopher SChief Human Resources Officer
Exercise / conversionCommon Stock 2,700 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011919 · doc4.xml · nonDerivative · entry 1

Aisenbrey Christopher S · CIK 0001913663 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,851

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, 2022 Filed Nov 25, 2022 18:31 UTC
REILLY PAUL CDirector · Chair & CEO
Exercise / conversionRestricted Stock Units · Derivative 11,250 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011918 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 11,250 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 and will vest 20% on 11/22/2023 and 20% on 11/22/2024.

F4 · balance_after: The RSU grant was previously reported as covering 12,500 shares awarded on November 22, 2019, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 18:31 UTC
REILLY PAUL CDirector · Chair & CEO
Tax withholdingCommon Stock 4,162 $123.52 $514,090.24
Disclosure

SEC source: 0001225208-22-011918 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,356

Read SEC document
November 22, 2022 Filed Nov 25, 2022 18:31 UTC
REILLY PAUL CDirector · Chair & CEO
Exercise / conversionCommon Stock 11,250 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011918 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,518

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, 2022 Filed Nov 25, 2022 14:59 UTC
Raney Steven MPresident & CEO RJBank
Exercise / conversionRestricted Stock Units · Derivative 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011914 · doc4.xml · derivative · entry 4

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 4,500 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 and will vest 20% on 11/22/2023 and 20% on 11/22/2024.

F5 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 22, 2019, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:59 UTC
Raney Steven MPresident & CEO RJBank
Tax withholdingCommon Stock 990 $123.52 $122,284.80
Disclosure

SEC source: 0001225208-22-011914 · doc4.xml · nonDerivative · entry 2

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,223

F2 · balance_after: Includes 59 shares of common stock acquired on March 2, 2022, 63 shares of common stock acquired on June 2, 2022, and 60 shares of common stock acquired on September 2, 2022 pursuant to the registrant's Employee Stock Purchase Plan.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:59 UTC
Raney Steven MPresident & CEO RJBank
Exercise / conversionCommon Stock 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011914 · doc4.xml · nonDerivative · entry 1

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,213

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 59 shares of common stock acquired on March 2, 2022, 63 shares of common stock acquired on June 2, 2022, and 60 shares of common stock acquired on September 2, 2022 pursuant to the registrant's Employee Stock Purchase Plan.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 18:26 UTC
Santelli Jonathan NEVP, Gen Counsel, Secy
Exercise / conversionRestricted Stock Units · Derivative 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011917 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 4,500 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 and will vest 20% on 11/22/2023 and 20% on 11/22/2024.

F4 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 22, 2019, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 18:26 UTC
Santelli Jonathan NEVP, Gen Counsel, Secy
Tax withholdingCommon Stock 1,095 $123.52 $135,254.40
Disclosure

SEC source: 0001225208-22-011917 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,182

Read SEC document
November 22, 2022 Filed Nov 25, 2022 18:26 UTC
Santelli Jonathan NEVP, Gen Counsel, Secy
Exercise / conversionCommon Stock 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011917 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,277

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, 2022 Filed Nov 25, 2022 18:21 UTC
Dowdle Jeffrey ACOO & Head of Asset Mgmt.
Exercise / conversionRestricted Stock Units · Derivative 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011916 · 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: 3,000

Underlying: Common Stock · 4,500 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.

F6 · derivative.exercise_date: RSUs vested 60% on 11/22/2022 and will vest 20% on 11/22/2023 and 20% on 11/22/2024.

F7 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 22, 2019, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 18:21 UTC
Dowdle Jeffrey ACOO & Head of Asset Mgmt.
Tax withholdingCommon Stock 1,074 $123.52 $132,660.48
Disclosure

SEC source: 0001225208-22-011916 · 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: 47,104

F2 · balance_after: Includes 241 shares of common stock acquired on September 2, 2022 pursuant to the registrant's Employee Stock Purchase Plan.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 18:21 UTC
Dowdle Jeffrey ACOO & Head of Asset Mgmt.
Exercise / conversionCommon Stock 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011916 · 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: 48,178

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

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:55 UTC
Allaire Bella LoykhterExecutive Vice President-RJA
Exercise / conversionRestricted Stock Units · Derivative 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011913 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 4,500 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 and will vest 20% on 11/22/2023 and 20% on 11/22/2024.

F4 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 22, 2019, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:55 UTC
Allaire Bella LoykhterExecutive Vice President-RJA
Tax withholdingCommon Stock 1,176 $123.52 $145,259.52
Disclosure

SEC source: 0001225208-22-011913 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,581

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:55 UTC
Allaire Bella LoykhterExecutive Vice President-RJA
Exercise / conversionCommon Stock 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011913 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,757

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, 2022 Filed Nov 25, 2022 14:54 UTC
Catanese GeorgeChief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 2,700 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011912 · doc4.xml · derivative · entry 4

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,800

Underlying: Common Stock · 2,700 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 and will vest 20% on 11/22/2023 and 20% on 11/22/2024.

F4 · balance_after: The RSU grant was previously reported as covering 3,000 shares awarded on November 22, 2019, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:54 UTC
Catanese GeorgeChief Risk Officer
Tax withholdingCommon Stock 594 $123.52 $73,370.88
Disclosure

SEC source: 0001225208-22-011912 · doc4.xml · nonDerivative · entry 2

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,620

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:54 UTC
Catanese GeorgeChief Risk Officer
Exercise / conversionCommon Stock 2,700 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011912 · doc4.xml · nonDerivative · entry 1

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,214

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, 2022 Filed Nov 25, 2022 14:38 UTC
Bunn James EPres-GlobEq&Inv Banking-RJA
Exercise / conversionRestricted Stock Units · Derivative 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011911 · 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: 3,000

Underlying: Common Stock · 4,500 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 and will vest 20% on 11/22/2023 and 20% on 11/22/2024.

F4 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 22, 2019, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:38 UTC
Bunn James EPres-GlobEq&Inv Banking-RJA
Tax withholdingCommon Stock 1,770 $123.52 $218,630.40
Disclosure

SEC source: 0001225208-22-011911 · 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: 23,826

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:38 UTC
Bunn James EPres-GlobEq&Inv Banking-RJA
Exercise / conversionCommon Stock 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011911 · 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: 25,596

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, 2022 Filed Nov 25, 2022 14:36 UTC
Curtis Scott APresident, PCG
Exercise / conversionRestricted Stock Units · Derivative 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011910 · doc4.xml · derivative · entry 4

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 4,500 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 and will vest 20% on 11/22/2023 and 20% on 11/22/2024.

F4 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 22, 2019, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:36 UTC
Curtis Scott APresident, PCG
Tax withholdingCommon Stock 1,102 $123.52 $136,119.04
Disclosure

SEC source: 0001225208-22-011910 · doc4.xml · nonDerivative · entry 2

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,780

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:36 UTC
Curtis Scott APresident, PCG
Exercise / conversionCommon Stock 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011910 · doc4.xml · nonDerivative · entry 1

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,882

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, 2022 Filed Nov 25, 2022 14:35 UTC
Elwyn Tashtego SCEO & President - RJA
Exercise / conversionRestricted Stock Units · Derivative 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011909 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 4,500 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 and will vest 20% on 11/22/2023 and 20% on 11/22/2024.

F5 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 22, 2019, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:35 UTC
Elwyn Tashtego SCEO & President - RJA
Tax withholdingCommon Stock 1,122 $123.52 $138,589.44
Disclosure

SEC source: 0001225208-22-011909 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,994

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:35 UTC
Elwyn Tashtego SCEO & President - RJA
Exercise / conversionCommon Stock 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011909 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,116

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, 2022 Filed Nov 25, 2022 14:34 UTC
Perry JodiPresident, ICD for RJFS
Exercise / conversionRestricted Stock Units · Derivative 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011908 · doc4.xml · derivative · entry 7

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 4,500 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 and will vest 20% on 11/22/2023 and 20% on 11/22/2024.

F5 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 22, 2019, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:34 UTC
Perry JodiPresident, ICD for RJFS
Exercise / conversionRestricted Stock Units · Derivative 300 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011908 · doc4.xml · derivative · entry 6

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 300 shares

Expires 2022-11-22

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 11/22/2020, 20% on 11/22/2021, and 20% on 11/22/2022.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:34 UTC
Perry JodiPresident, ICD for RJFS
Tax withholdingCommon Stock 1,095 $123.52 $135,254.40
Disclosure

SEC source: 0001225208-22-011908 · doc4.xml · nonDerivative · entry 4

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,027

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:34 UTC
Perry JodiPresident, ICD for RJFS
Tax withholdingCommon Stock 73 $123.52 $9,016.96
Disclosure

SEC source: 0001225208-22-011908 · doc4.xml · nonDerivative · entry 3

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,122

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:34 UTC
Perry JodiPresident, ICD for RJFS
Exercise / conversionCommon Stock 300 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011908 · doc4.xml · nonDerivative · entry 2

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,195

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, 2022 Filed Nov 25, 2022 14:34 UTC
Perry JodiPresident, ICD for RJFS
Exercise / conversionCommon Stock 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011908 · doc4.xml · nonDerivative · entry 1

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,895

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, 2022 Filed Nov 25, 2022 14:31 UTC
Shoukry Paul MCFO and Treasurer
Exercise / conversionRestricted Stock Units · Derivative 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011907 · doc4.xml · derivative · entry 7

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 4,500 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 and will vest 20% on 11/22/2023 and 20% on 11/22/2024.

F5 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 22, 2019, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:31 UTC
Shoukry Paul MCFO and Treasurer
Exercise / conversionRestricted Stock Units · Derivative 900 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011907 · doc4.xml · derivative · entry 6

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 900 shares

Expires 2022-11-22

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 11/22/2020, 20% on 11/22/2021, and 20% on 11/22/2022.

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:31 UTC
Shoukry Paul MCFO and Treasurer
Tax withholdingCommon Stock 1,095 $123.52 $135,254.40
Disclosure

SEC source: 0001225208-22-011907 · doc4.xml · nonDerivative · entry 4

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,692

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:31 UTC
Shoukry Paul MCFO and Treasurer
Tax withholdingCommon Stock 219 $123.52 $27,050.88
Disclosure

SEC source: 0001225208-22-011907 · doc4.xml · nonDerivative · entry 3

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,787

Read SEC document
November 22, 2022 Filed Nov 25, 2022 14:31 UTC
Shoukry Paul MCFO and Treasurer
Exercise / conversionCommon Stock 900 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011907 · doc4.xml · nonDerivative · entry 2

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,006

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, 2022 Filed Nov 25, 2022 14:31 UTC
Shoukry Paul MCFO and Treasurer
Exercise / conversionCommon Stock 4,500 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011907 · doc4.xml · nonDerivative · entry 1

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,106

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 21, 2022 Filed Nov 23, 2022 21:36 UTC
Oorlog Jonathan W JRSenior VP and Controller
GrantRestricted Stock Units · Derivative 2,056 $0.00 $0.00
Disclosure

SEC source: 0001225208-22-011889 · doc4.xml · derivative · entry 6

Oorlog Jonathan W JR · CIK 0001825440 · Senior VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,056

Underlying: Common Stock · 2,056 shares

Expires 2025-11-30

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.

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.