RJF

SEC source: 0001225208-22-011768 · doc4.xml · nonDerivative · entry 1

JAMES THOMAS A · CIK 0001182775 · Director · Chairman Emeritus

10b5-1 filing: Not disclosed

Ownership: Indirect · By Harbus Investors, Inc.

Disclosed balance after: 0

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 $123.80 to $123.82.

SEC source: 0001225208-22-011301 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,616

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

SEC source: 0001225208-22-011195 · doc4.xml · nonDerivative · entry 1

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,514

SEC source: 0001225208-22-011003 · 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 · 591 shares

Expires 2022-10-15

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

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-22-011003 · doc4.xml · nonDerivative · entry 1

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,764

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: 0001225208-22-010956 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,257

SEC source: 0001225208-22-010639 · 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: 0

Underlying: Common Stock · 2,250 shares

Expires 2022-09-30

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: 0001225208-22-010639 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,307

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: 0001225208-22-010230 · 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: 21,096

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 $106.48 to $107.21.

SEC source: 0001225208-22-009807 · doc4.xml · derivative · entry 1

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,174

Underlying: Common Stock · 164 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F2 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

SEC source: 0001225208-22-009510 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,948

SEC source: 0001225208-22-008858 · 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 · 446 shares

Expires 2022-07-15

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

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-22-008858 · doc4.xml · nonDerivative · entry 1

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,173

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: 0001225208-22-008295 · doc4.xml · nonDerivative · entry 1

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,606

SEC source: 0001225208-22-007115 · 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 · 150 shares

Expires 2022-05-15

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

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-22-007115 · doc4.xml · nonDerivative · entry 1

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,727

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: 0001225208-22-006441 · 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: 25,096

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 $100.19 to $100.23.

SEC source: 0001225208-22-006563 · doc4.xml · nonDerivative · entry 1

JAMES THOMAS A · CIK 0001182775 · Director · Chairman Emeritus

10b5-1 filing: Not disclosed

Ownership: Indirect · By Robert A. James Trust

Disclosed balance after: 0

F1 · balance_after: The reporting person is the trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001225208-22-005876 · 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 · 144 shares

Expires 2022-04-15

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

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-22-005876 · doc4.xml · nonDerivative · entry 1

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,577

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

F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-22-003617 · doc4.xml · derivative · entry 1

Aisenbrey Christopher S · CIK 0001913663 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2027-02-28

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F2 · derivative.exercise_date: RSUs vest 60% on 2/28/2025, 20% on 2/28/2026, and 20% on 2/28/2027.

SEC source: 0001225208-22-003319 · doc4.xml · derivative · entry 6

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,010

Underlying: Common Stock · 1,925 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

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

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

F5 · balance_after: The RSU grant was previously reported as covering 1,283 shares awarded on February 18, 2021, 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: 0001225208-22-003319 · doc4.xml · derivative · entry 5

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,935

Underlying: Common Stock · 323 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

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

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

F4 · balance_after: The RSU grant was previously reported as covering 215 shares awarded on February 19, 2021, 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: 0001225208-22-003319 · doc4.xml · derivative · entry 4

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,258

Underlying: Common Stock · 327 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F2 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

SEC source: 0001225208-22-003319 · doc4.xml · derivative · entry 3

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,931

Underlying: Common Stock · 1,683 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F2 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

SEC source: 0001225208-22-003319 · doc4.xml · nonDerivative · entry 2

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,187

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: 0001225208-22-003319 · doc4.xml · nonDerivative · entry 1

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,864

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: 0001225208-22-003448 · 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: 2,806

Underlying: Common Stock · 2,806 shares

Expires 2025-02-24

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: 0001225208-22-003350 · doc4.xml · derivative · entry 1

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2027-02-28

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F2 · derivative.exercise_date: RSUs vest 60% on 2/28/2025, 20% on 2/28/2026, and 20% on 2/28/2027.

SEC source: 0001225208-22-003348 · doc4.xml · derivative · entry 3

DEBEL MARLENE · CIK 0001770295 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,683

Underlying: Common Stock · 1,925 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

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

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

F4 · balance_after: The RSU grant was previously reported as covering 1,283 shares awarded on February 18, 2021, 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: 0001225208-22-003348 · doc4.xml · derivative · entry 2

DEBEL MARLENE · CIK 0001770295 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,608

Underlying: Common Stock · 1,683 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F2 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

SEC source: 0001225208-22-003348 · doc4.xml · nonDerivative · entry 1

DEBEL MARLENE · CIK 0001770295 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,530

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: 0001225208-22-003331 · doc4.xml · derivative · entry 3

Seshadri Raj · CIK 0001772738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,683

Underlying: Common Stock · 1,925 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F4 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F4 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F5 · balance_after: The RSU grant was previously reported as covering 1,283 shares awarded on February 18, 2021, 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: 0001225208-22-003331 · doc4.xml · derivative · entry 2

Seshadri Raj · CIK 0001772738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,608

Underlying: Common Stock · 1,683 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

F3 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

SEC source: 0001225208-22-003331 · doc4.xml · nonDerivative · entry 1

Seshadri Raj · CIK 0001772738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,189

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: On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's ownership of additional shares of common stock.

SEC source: 0001225208-22-003324 · doc4.xml · derivative · entry 3

Esty Benjamin · CIK 0001325337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,683

Underlying: Common Stock · 1,925 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F4 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F4 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F5 · balance_after: The RSU grant was previously reported as covering 1,283 shares awarded on February 18, 2021, 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: 0001225208-22-003324 · doc4.xml · derivative · entry 2

Esty Benjamin · CIK 0001325337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,608

Underlying: Common Stock · 1,683 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

F3 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

SEC source: 0001225208-22-003324 · doc4.xml · nonDerivative · entry 1

Esty Benjamin · CIK 0001325337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,201

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: On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's ownership of additional shares of common stock.

SEC source: 0001225208-22-003540 · doc4.xml · derivative · entry 3

MCGEARY RODERICK C · CIK 0001206884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,683

Underlying: Common Stock · 1,925 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F4 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F4 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F5 · balance_after: The RSU grant was previously reported as covering 1,283 shares awarded on February 18, 2021, 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: 0001225208-22-003540 · doc4.xml · derivative · entry 2

MCGEARY RODERICK C · CIK 0001206884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,608

Underlying: Common Stock · 1,683 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

F3 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

SEC source: 0001225208-22-003540 · doc4.xml · nonDerivative · entry 1

MCGEARY RODERICK C · CIK 0001206884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,761

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: On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's ownership of additional shares of common stock.

SEC source: 0001225208-22-003539 · doc4.xml · derivative · entry 3

Edwards Jeffrey N · CIK 0001293146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,683

Underlying: Common Stock · 1,925 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F4 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F4 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F5 · balance_after: The RSU grant was previously reported as covering 1,283 shares awarded on February 18, 2021, 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: 0001225208-22-003539 · doc4.xml · derivative · entry 2

Edwards Jeffrey N · CIK 0001293146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,608

Underlying: Common Stock · 1,683 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

F3 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

SEC source: 0001225208-22-003539 · doc4.xml · nonDerivative · entry 1

Edwards Jeffrey N · CIK 0001293146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,251

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: On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's ownership of additional shares of common stock.

SEC source: 0001225208-22-003495 · doc4.xml · derivative · entry 3

Gates Anne · CIK 0001660111 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,683

Underlying: Common Stock · 1,925 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F4 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F4 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F5 · balance_after: The RSU grant was previously reported as covering 1,283 shares awarded on February 18, 2021, 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: 0001225208-22-003495 · doc4.xml · derivative · entry 2

Gates Anne · CIK 0001660111 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,608

Underlying: Common Stock · 1,683 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

F3 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

SEC source: 0001225208-22-003495 · doc4.xml · nonDerivative · entry 1

Gates Anne · CIK 0001660111 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,255

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.

F2 · balance_after: On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's ownership of additional shares of common stock.

SEC source: 0001225208-22-003493 · doc4.xml · derivative · entry 3

DUTKOWSKY ROBERT M · CIK 0001247747 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,683

Underlying: Common Stock · 1,925 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F4 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F4 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F5 · balance_after: The RSU grant was previously reported as covering 1,283 shares awarded on February 18, 2021, 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: 0001225208-22-003493 · doc4.xml · derivative · entry 2

DUTKOWSKY ROBERT M · CIK 0001247747 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,608

Underlying: Common Stock · 1,683 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

F3 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2023.

SEC source: 0001225208-22-003493 · doc4.xml · nonDerivative · entry 1

DUTKOWSKY ROBERT M · CIK 0001247747 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,823

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: On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's ownership of additional shares of common stock.