RJF

SEC source: 0001225208-21-014405 · doc4.xml · nonDerivative · entry 1

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,316

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/14/2018. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014392 · doc4.xml · nonDerivative · entry 1

Carson John C Jr. · CIK 0001509485 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,583

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/14/2018. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014391 · 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: 35,175

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/14/2018. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014390 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,790

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/14/2018. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014447 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,127

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/14/2018. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014446 · 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: 17,597,241

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/14/2018. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014444 · doc4.xml · nonDerivative · entry 1

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,334

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/14/2018. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014445 · doc4.xml · nonDerivative · entry 1

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,490

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/14/2018. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014432 · 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: 61,060

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/14/2018. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014431 · doc4.xml · nonDerivative · entry 1

Allison Paul D · CIK 0001453440 · Chair, President & CEO RJ Ltd.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,603

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on December 14, 2018. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014423 · doc4.xml · nonDerivative · entry 1

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,737

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/14/2018. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014422 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,342

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/14/2018. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014491 · doc4.xml · nonDerivative · entry 1

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,171

SEC source: 0001225208-21-014488 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,087

SEC source: 0001225208-21-014293 · doc4.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2022-11-30

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.

F8 · derivative.exercise_date: RSUs vested 60% on 11/30/2020, 20% on 11/30/2021, and will vest 20% on 11/30/2022.

F9 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 30, 2017, of which 2,000 shares remained outstanding, 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: 0001225208-21-014293 · doc4.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,500 shares

Expires 2021-11-30

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.

F6 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021.

F7 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 30, 2016, of which 1,000 shares remained outstanding, 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: 0001225208-21-014293 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,227

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: 0001225208-21-014293 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,809

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: 0001225208-21-014293 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,391

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: 0001225208-21-014293 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,891

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: 0001225208-21-014292 · doc4.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 3,750 shares

Expires 2022-11-30

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.

F8 · derivative.exercise_date: RSUs vested 60% on 11/30/2020, 20% on 11/30/2021, and will vest 20% on 11/30/2022.

F9 · balance_after: The RSU grant was previously reported as covering 12,500 shares awarded on November 30, 2017, of which 5,000 shares remained outstanding, 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: 0001225208-21-014292 · doc4.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2021-11-30

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.

F6 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021.

F7 · balance_after: The RSU grant was previously reported as covering 10,000 shares awarded on November 30, 2016, of which 2,000 shares remained outstanding, 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: 0001225208-21-014292 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,950

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: 0001225208-21-014292 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,425

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: 0001225208-21-014292 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,605

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: 0001225208-21-014292 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,605

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: 0001225208-21-014278 · doc4.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2022-11-30

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.

F9 · derivative.exercise_date: RSUs vested 60% on 11/30/2020, 20% on 11/30/2021, and will vest 20% on 11/30/2022.

F10 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 30, 2017, of which 2,000 shares remained outstanding, 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: 0001225208-21-014278 · doc4.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,500 shares

Expires 2021-11-30

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.

F7 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021.

F8 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 30, 2016, of which 1,000 shares remained outstanding, 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: 0001225208-21-014278 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,176

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. Includes 179 shares of common stock acquired on September 2, 2021 pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014278 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,568

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. Includes 179 shares of common stock acquired on September 2, 2021 pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014278 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,960

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. Includes 179 shares of common stock acquired on September 2, 2021 pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014278 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,460

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. Includes 179 shares of common stock acquired on September 2, 2021 pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014277 · doc4.xml · derivative · entry 7

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 2021-11-30

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.

F5 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021.

F6 · balance_after: The RSU grant was previously reported as covering 3,000 shares awarded on November 30, 2016, of which 600 shares remained outstanding, 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: 0001225208-21-014277 · doc4.xml · nonDerivative · entry 4

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,171

SEC source: 0001225208-21-014277 · doc4.xml · nonDerivative · entry 3

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,390

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: 0001225208-21-014274 · 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 · 300 shares

Expires 2021-11-30

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.

F5 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021.

F6 · balance_after: The RSU grant was previously reported as covering 1,000 shares awarded on November 30, 2016, of which 200 shares remained outstanding, 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: 0001225208-21-014274 · doc4.xml · nonDerivative · entry 4

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,889

SEC source: 0001225208-21-014274 · doc4.xml · nonDerivative · entry 3

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,962

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: 0001225208-21-014273 · doc4.xml · derivative · entry 10

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2022-11-30

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.

F8 · derivative.exercise_date: RSUs vested 60% on 11/30/2020, 20% on 11/30/2021, and will vest 20% on 11/30/2022.

F9 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 30, 2017, of which 2,000 shares remained outstanding, 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: 0001225208-21-014273 · doc4.xml · derivative · entry 9

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,500 shares

Expires 2021-11-30

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.

F6 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021.

F7 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 30, 2016, of which 1,000 shares remained outstanding, 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: 0001225208-21-014273 · doc4.xml · nonDerivative · entry 6

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,090

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. Includes 23 shares of common stock acquired on June 2, 2021 and 22 shares of common stock acquired on September 2, 2021, pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014273 · doc4.xml · nonDerivative · entry 5

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,455

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. Includes 23 shares of common stock acquired on June 2, 2021 and 22 shares of common stock acquired on September 2, 2021, pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014273 · doc4.xml · nonDerivative · entry 4

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,820

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. Includes 23 shares of common stock acquired on June 2, 2021 and 22 shares of common stock acquired on September 2, 2021, pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014273 · doc4.xml · nonDerivative · entry 3

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,320

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

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

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. Includes 23 shares of common stock acquired on June 2, 2021 and 22 shares of common stock acquired on September 2, 2021, pursuant to the registrant's Employee Stock Purchase Plan but was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-014272 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 450 shares

Expires 2021-11-30

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.

F5 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021.

F6 · balance_after: The RSU grant was previously reported as covering 1,500 shares awarded on November 30, 2016, of which 300 shares remained outstanding, 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: 0001225208-21-014272 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,262

SEC source: 0001225208-21-014272 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,371

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: 0001225208-21-014271 · doc4.xml · derivative · entry 10

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 900

Underlying: Common Stock · 900 shares

Expires 2022-11-30

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.

F8 · derivative.exercise_date: RSUs vested 60% on 11/30/2020, 20% on 11/30/2021, and will vest 20% on 11/30/2022.

F9 · balance_after: The RSU grant was previously reported as covering 3,000 shares awarded on November 30, 2017, of which 1,200 shares remained outstanding, 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: 0001225208-21-014271 · doc4.xml · derivative · entry 9

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 600 shares

Expires 2021-11-30

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.

F6 · derivative.exercise_date: RSUs vested 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021.

F7 · balance_after: The RSU grant was previously reported as covering 2,000 shares awarded on November 30, 2016, of which 400 shares remained outstanding, 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: 0001225208-21-014271 · doc4.xml · nonDerivative · entry 6

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,948

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.