RJF

SEC source: 0001225208-21-014273 · doc4.xml · nonDerivative · entry 2

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,820

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 1

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,915

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 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 900

Underlying: Common Stock · 1,350 shares

Expires 2023-11-29

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

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

F3 · derivative.exercise_date: RSUs vested 60% on 11/29/2021, will vest 20% on 11/29/2022, and 20% on 11/29/2023.

F4 · balance_after: The RSU grant was previously reported as covering 1,500 shares awarded on November 29, 2018, 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 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,921

SEC source: 0001225208-21-014272 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,228

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 8

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 2023-11-29

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

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

F4 · derivative.exercise_date: RSUs vested 60% on 11/29/2021, will vest 20% on 11/29/2022, and 20% on 11/29/2023.

F5 · balance_after: The RSU grant was previously reported as covering 3,000 shares awarded on November 29, 2018, 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 2

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,813

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: 0001225208-21-014271 · doc4.xml · nonDerivative · entry 1

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,470

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: 0001225208-21-014270 · doc4.xml · derivative · entry 10

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 2023-11-29

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

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

F4 · derivative.exercise_date: RSUs vested 60% on 11/29/2021, will vest 20% on 11/29/2022, and 20% on 11/29/2023.

F5 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 29, 2018, 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: 0001225208-21-014270 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,673

SEC source: 0001225208-21-014270 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,768

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: 0001225208-21-014265 · doc4.xml · derivative · entry 8

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 2023-11-29

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

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

F3 · derivative.exercise_date: RSUs vested 60% on 11/29/2021, will vest 20% on 11/29/2022, and 20% on 11/29/2023.

F4 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 29, 2018, 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: 0001225208-21-014265 · 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: 21,020

SEC source: 0001225208-21-014265 · 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: 22,115

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: 0001225208-21-014262 · doc4.xml · derivative · entry 8

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 2023-11-29

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

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

F3 · derivative.exercise_date: RSUs vested 60% on 11/29/2021, will vest 20% on 11/29/2022, and 20% on 11/29/2023.

F4 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 29, 2018, 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: 0001225208-21-014262 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,605

SEC source: 0001225208-21-014262 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,700

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: 0001225208-21-014255 · doc4.xml · derivative · entry 9

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 2023-11-29

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

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

F4 · derivative.exercise_date: RSUs vested 60% on 11/29/2021, will vest 20% on 11/29/2022, and 20% on 11/29/2023.

F5 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 29, 2018, 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: 0001225208-21-014255 · doc4.xml · nonDerivative · entry 2

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,739

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: 0001225208-21-014255 · doc4.xml · nonDerivative · entry 1

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,509

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: 0001225208-21-014254 · doc4.xml · derivative · entry 8

Carson John C Jr. · CIK 0001509485 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 4,500 shares

Expires 2023-11-29

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

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 11/29/2021, will vest 20% on 11/29/2022, and 20% on 11/29/2023.

F5 · balance_after: The RSU grant was previously reported as covering 5,000 shares awarded on November 29, 2018, 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: 0001225208-21-014254 · doc4.xml · nonDerivative · entry 2

Carson John C Jr. · CIK 0001509485 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,108

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 66 shares of common stock acquired on June 2, 2021 and 63 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: 0001225208-21-014254 · doc4.xml · nonDerivative · entry 1

Carson John C Jr. · CIK 0001509485 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,203

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 66 shares of common stock acquired on June 2, 2021 and 63 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: 0001225208-21-014077 · doc4.xml · derivative · entry 4

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 900

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.

F4 · derivative.exercise_date: RSUs vested 60% on 11/22/2020, 20% on 11/22/2021, and will vest 20% on 11/22/2022.

F5 · balance_after: The RSU grant was previously reported as covering 3,000 shares awarded on November 22, 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: 0001225208-21-014077 · doc4.xml · nonDerivative · entry 2

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,447

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: 0001225208-21-014077 · doc4.xml · nonDerivative · entry 1

Shoukry Paul M · CIK 0001798349 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,666

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: 0001225208-21-014074 · doc4.xml · derivative · entry 4

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300

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.

F4 · derivative.exercise_date: RSUs vested 60% on 11/22/2020, 20% on 11/22/2021, and will vest 20% on 11/22/2022.

F5 · balance_after: The RSU grant was previously reported as covering 1,000 shares awarded on November 22, 2017, 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: 0001225208-21-014074 · doc4.xml · nonDerivative · entry 2

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,257

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: 0001225208-21-014074 · doc4.xml · nonDerivative · entry 1

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,330

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: 0001225208-21-014073 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,584

Underlying: Common Stock · 4,584 shares

Expires 2026-11-30

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.

F6 · derivative.exercise_date: RSUs vest 60% on 11/30/2024, 20% on 11/30/2025, and 20% on 11/30/2026.

SEC source: 0001225208-21-014073 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450

Underlying: Common Stock · 450 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.

F4 · derivative.exercise_date: RSUs vested 60% on 11/22/2020, 20% on 11/22/2021, and will vest 20% on 11/22/2022.

F5 · balance_after: The RSU grant was previously reported as covering 1,500 shares awarded on November 22, 2017, 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: 0001225208-21-014073 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,878

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: 0001225208-21-014073 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,985

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: 0001225208-21-014075 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,268

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

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: 0001225208-21-014067 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,200

F1 · 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: 0001225208-21-013854 · 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: 17,615

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 $100.33 to $101.07.

SEC source: 0001225208-21-012752 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,500 shares

Expires 2021-09-30

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.

F5 · shares: The RSU grant was previously reported as covering 5,000 shares awarded on November 29, 2018, but was adjusted to reflect the stock split that occurred on September 21, 2021.

F5 · derivative.underlying_shares: The RSU grant was previously reported as covering 5,000 shares awarded on November 29, 2018, but was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-21-012752 · 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: 35,419

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: 0001225208-21-012090 · doc4.xml · derivative · entry 3

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,334 shares

Expires 2021-11-20

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

F2 · derivative.exercise_date: On November 20, 2014, the reporting person received a grant of 12,500 stock options. Stock options vested 60% on 11/20/2017, 20% on 11/20/2018, and 20% on 11/20/2019.

SEC source: 0001225208-21-012090 · doc4.xml · nonDerivative · entry 1

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,673

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.

SEC source: 0001225208-21-013821 · doc5.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 shares

Expires 2021-11-20

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.

F4 · derivative.exercise_date: The stock option vested 60% on 11/20/2017, 20% on 11/20/2018, and 20% on 11/20/2019.

SEC source: 0001225208-21-013821 · doc5.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,781

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: Reflects the adjusted price following the 3-for-2 stock split that occurred on September 21, 2021.

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: 0001225208-21-010790 · doc4.xml · derivative · entry 3

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,334

Underlying: Common Stock · 5,300 shares

Expires 2021-11-20

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

F2 · derivative.exercise_date: On November 20, 2014, the reporting person received a grant of 12,500 stock options. Stock options vested 60% on 11/20/2017, 20% on 11/20/2018, and 20% on 11/20/2019.

SEC source: 0001225208-21-010790 · doc4.xml · nonDerivative · entry 1

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,339

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.

SEC source: 0001225208-21-008586 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,324

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

F3 · price: Reflects the weighted average sale price. The range of prices for such transaction was $133.00 to $133.06.

SEC source: 0001225208-21-008586 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2021-05-25

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: The RSUs vested in five equal annual installments beginning on the first anniversary of the 5/25/2016 grant date, with the last such vesting date occurring on 5/25/2021.

SEC source: 0001225208-21-008586 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,596

SEC source: 0001225208-21-008586 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,324

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: 0001225208-21-009535 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,112

SEC source: 0001225208-21-008384 · doc4.xml · nonDerivative · entry 1

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,355