RJF

SEC source: 0001225208-20-003261 · doc4.xml · nonDerivative · entry 1

STORY SUSAN N · CIK 0001233549 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,927.532

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: 0001225208-20-003249 · doc4.xml · derivative · entry 3

von Arentschildt Charles · CIK 0001648867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,481

Underlying: Common Stock · 1,789 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.

SEC source: 0001225208-20-003249 · doc4.xml · derivative · entry 2

von Arentschildt Charles · CIK 0001648867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,270

Underlying: Common Stock · 1,481 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, 2021.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2021.

SEC source: 0001225208-20-003249 · doc4.xml · nonDerivative · entry 1

von Arentschildt Charles · CIK 0001648867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,948

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: 0001225208-20-003247 · doc4.xml · derivative · entry 3

MCGEARY RODERICK C · CIK 0001206884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,481

Underlying: Common Stock · 1,789 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.

SEC source: 0001225208-20-003247 · doc4.xml · derivative · entry 2

MCGEARY RODERICK C · CIK 0001206884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,270

Underlying: Common Stock · 1,481 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, 2021.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2021.

SEC source: 0001225208-20-003247 · doc4.xml · nonDerivative · entry 1

MCGEARY RODERICK C · CIK 0001206884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,410

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: 0001225208-20-003245 · doc4.xml · derivative · entry 3

Gates Anne · CIK 0001660111 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,481

Underlying: Common Stock · 1,789 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.

SEC source: 0001225208-20-003245 · doc4.xml · derivative · entry 2

Gates Anne · CIK 0001660111 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,270

Underlying: Common Stock · 1,481 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, 2021.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2021.

SEC source: 0001225208-20-003245 · doc4.xml · nonDerivative · entry 1

Gates Anne · CIK 0001660111 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,406

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: 0001225208-20-003243 · doc4.xml · derivative · entry 3

Edwards Jeffrey N · CIK 0001293146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,481

Underlying: Common Stock · 1,789 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.

SEC source: 0001225208-20-003243 · doc4.xml · derivative · entry 2

Edwards Jeffrey N · CIK 0001293146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,270

Underlying: Common Stock · 1,481 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, 2021.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2021.

SEC source: 0001225208-20-003243 · doc4.xml · nonDerivative · entry 1

Edwards Jeffrey N · CIK 0001293146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,070

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: 0001225208-20-003241 · doc4.xml · derivative · entry 4

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,481

Underlying: Common Stock · 2,091 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.

SEC source: 0001225208-20-003241 · doc4.xml · derivative · entry 3

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,572

Underlying: Common Stock · 1,481 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, 2021.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2021.

SEC source: 0001225208-20-003241 · doc4.xml · nonDerivative · entry 1

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,659

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: 0001225208-20-003208 · doc4.xml · derivative · entry 3

Esty Benjamin · CIK 0001325337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,481

Underlying: Common Stock · 1,789 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.

SEC source: 0001225208-20-003208 · doc4.xml · derivative · entry 2

Esty Benjamin · CIK 0001325337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,270

Underlying: Common Stock · 1,481 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, 2021.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2021.

SEC source: 0001225208-20-003208 · doc4.xml · nonDerivative · entry 1

Esty Benjamin · CIK 0001325337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,370

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: 0001225208-20-003206 · doc4.xml · derivative · entry 3

DUTKOWSKY ROBERT M · CIK 0001247747 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,481

Underlying: Common Stock · 1,789 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.

SEC source: 0001225208-20-003206 · doc4.xml · derivative · entry 2

DUTKOWSKY ROBERT M · CIK 0001247747 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,270

Underlying: Common Stock · 1,481 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, 2021.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2021.

SEC source: 0001225208-20-003206 · doc4.xml · nonDerivative · entry 1

DUTKOWSKY ROBERT M · CIK 0001247747 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,451

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: 0001225208-20-003202 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,035

F1 · kind: The reporting person contributed RJF common stock to an exchange fund in exchange for shares of the exchange fund. The RJF common stock was valued at $101.26 per share for purposes of determining the number of shares of the exchange fund issuable to the reporting person.

F1 · price: The reporting person contributed RJF common stock to an exchange fund in exchange for shares of the exchange fund. The RJF common stock was valued at $101.26 per share for purposes of determining the number of shares of the exchange fund issuable to the reporting person.

SEC source: 0001225208-20-002736 · doc4.xml · derivative · entry 4

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60

Underlying: Common Stock · 60 shares

Expires 2021-02-19

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 2/19/2019, 20% on 2/19/2020, and will vest 20% on 2/19/2021.

SEC source: 0001225208-20-002736 · doc4.xml · nonDerivative · entry 2

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,568

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: 0001225208-20-002736 · doc4.xml · derivative · entry 3

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120

Underlying: Common Stock · 180 shares

Expires 2022-02-17

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.

F2 · derivative.exercise_date: RSUs vested 60% on 2/17/2020, will vest 20% on 2/17/2021, and 20% on 2/17/2022.

SEC source: 0001225208-20-002736 · doc4.xml · nonDerivative · entry 1

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,508

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: 0001225208-20-001860 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,335

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

SEC source: 0001225208-20-001860 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,050

SEC source: 0001225208-20-001397 · 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: 9,563

SEC source: 0001225208-20-000730 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,074 shares

Expires 2020-11-21

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.

F3 · derivative.exercise_date: The stock option vested 60% on 11/21/2016, 20% on 11/21/2017, and 20% on 11/21/2018.

SEC source: 0001225208-20-000730 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 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: The stock option vested 60% on 11/20/2017, 20% on 11/20/2018, and 20% on 11/20/2019.

SEC source: 0001225208-20-000730 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,835

SEC source: 0001225208-20-000730 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,487

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: 0001225208-20-000730 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,413

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: 0001225208-20-000218 · doc4.xml · derivative · entry 5

JULIEN JEFFREY P · CIK 0001182753 · Executive VP - Fin

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 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.

F3 · derivative.exercise_date: Stock options vested 60% on 11/20/2017, 20% on 11/20/2018, and 20% on 11/20/2019.

SEC source: 0001225208-20-000218 · doc4.xml · nonDerivative · entry 1

JULIEN JEFFREY P · CIK 0001182753 · Executive VP - Fin

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,242

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: 0001225208-20-000521 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,260

SEC source: 0001225208-20-000406 · doc4.xml · nonDerivative · entry 1

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,142

SEC source: 0001225208-20-000407 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,475

SEC source: 0001225208-20-000507 · 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: 46,651

SEC source: 0001225208-20-000402 · doc4.xml · nonDerivative · entry 1

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,923

SEC source: 0001225208-20-000394 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,913

SEC source: 0001225208-20-000405 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,350

SEC source: 0001225208-20-000398 · doc4.xml · nonDerivative · entry 1

Carson John C Jr. · CIK 0001509485 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,224

SEC source: 0001225208-19-016048 · doc4.xml · derivative · entry 3

TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,698

Underlying: Common Stock · 1,802 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: Stock options vested 60% on 11/20/2017, 20% on 11/20/2018, and 20% on 11/20/2019.

SEC source: 0001225208-19-016048 · doc4.xml · nonDerivative · entry 1

TROCIN JEFFREY E · CIK 0001185788 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,890

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: 0001225208-19-016013 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,094

SEC source: 0001225208-19-015854 · doc4.xml · derivative · entry 7

ACKART JENNIFER C · CIK 0001181167 · SVP, Controller & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 291 shares

Expires 2019-12-15

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: 0001225208-19-015854 · doc4.xml · nonDerivative · entry 4

ACKART JENNIFER C · CIK 0001181167 · SVP, Controller & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,032