Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| RAYMOND JAMES FINANCIAL INCRJF · Entity 3126 | Chair, President & CEO RJ Ltd. | December 14, 2021 | December 16, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
RAYMOND JAMES FINANCIAL INC
Report date December 14, 2021 · Filed December 16, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 17,110 |
Ending reported balance
After 2021-12-14 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-12-10 · Gift · Disposed 24,000 · Balance 14,603 Row 2 · 2021-12-14 · Exercise / conversion · Acquired 2,507 · Balance 17,110 F1: 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. |
| Common StockSEC Table I · non-derivative | IndirectRose Allison Holdings Inc. | 44,925 |
Reported balance
After 2021-12-10 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2021-12-10 · Gift · Acquired 24,000 · Balance 44,925 F2: A corporation that is wholly owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2021-12-14 | Direct | 0 |
Reported balance
After 2021-12-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-12-14 · Exercise / conversion · Disposed 2,507 · Balance 0 F1: 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: The RSU grant was previously reported as covering 1,671 shares awarded on December 14, 2018, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2024-12-15 | Direct | 1,735 |
Reported balance
After 2021-12-15 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-12-15 · Grant · Acquired 1,735 · Balance 1,735 F1: 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: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: A corporation that is wholly owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F3: The RSU grant was previously reported as covering 1,671 shares awarded on December 14, 2018, but was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
F4: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 15, 2017 Filed Dec 19, 2017 21:26 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 2,020 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018896 · 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 · 2,020 shares Expires 2017-12-15 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. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 21:26 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 2,020 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018896 · 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: 27,742 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| November 30, 2017 Filed Dec 1, 2017 22:35 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-017998 · 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: 5,000 Underlying: Common Stock · 5,000 shares Expires 2020-09-30 F3 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| November 29, 2017 Filed Dec 1, 2017 22:35 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantCommon Stock | 2,141 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-017998 · 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: 25,722 F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2014. Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 19:02 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 1,085 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043464 · doc4.xml · derivative · entry 1 Allison Paul D · CIK 0001453440 · Chair, President & CEO RJ Ltd. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,085 Underlying: Common Stock · 1,085 shares Expires 2019-12-15 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 · shares: Award of restricted stock units as portion of annual bonus. Read SEC document |
| December 13, 2016 Filed Dec 14, 2016 21:08 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 1,837 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043174 · 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 · 1,837 shares Expires 2016-12-13 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 represents a contingent right to receive, upon vesting of the award: (i) one share of RJF common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| December 13, 2016 Filed Dec 14, 2016 21:08 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 1,837 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043174 · 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: 23,581 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 represents a contingent right to receive, upon vesting of the award: (i) one share of RJF common stock, and (ii) accrued cash in lieu of dividends. Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 21:51 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042518 · 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: 5,000 Underlying: Common Stock · 5,000 shares Expires 2021-11-30 F2 · 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 vest 60% on 11/30/2019, 20% on 11/30/2020, and 20% on 11/30/2021. Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 21:51 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 16,500 | $71.80 | $1,184,619.15 |
DisclosureSEC source: 0001225208-16-042518 · 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: 21,744 Read SEC document |
| November 30, 2016 Filed Jul 10, 2017 14:43 UTC Amendment | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-012455 · doc4a.xml · derivative · entry 1 Allison Paul D · CIK 0001453440 · Chair, President & CEO RJ Ltd. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2019-09-30 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. F2 · derivative.exercise_date: RSUs vest 100% on 9/30/2019. F2 · derivative.expiration_date: RSUs vest 100% on 9/30/2019. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 21:11 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 12,500 | $0.00 Strike: $27.10 | $0.00 |
DisclosureSEC source: 0001225208-16-042204 · doc4.xml · derivative · entry 5 Allison Paul D · CIK 0001453440 · Chair, President & CEO RJ Ltd. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,500 shares Expires 2017-01-22 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. F3 · derivative.exercise_date: Options became exercisable - 15,000 on 11/22/2014, 5,000 on 11/22/2015 and 5,000 on 11/22/2016 Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 21:11 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 4,619 | $73.33 | $338,711.27 |
DisclosureSEC source: 0001225208-16-042204 · doc4.xml · nonDerivative · entry 3 Allison Paul D · CIK 0001453440 · Chair, President & CEO RJ Ltd. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,244 Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 21:11 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 12,500 | $27.10 | $338,750.00 |
DisclosureSEC source: 0001225208-16-042204 · doc4.xml · nonDerivative · entry 2 Allison Paul D · CIK 0001453440 · Chair, President & CEO RJ Ltd. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,863 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. Read SEC document |
| November 21, 2016 Filed Nov 23, 2016 21:11 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantCommon Stock | 1,819 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042204 · 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: 30,363 F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/13/2013. Read SEC document |
| November 18, 2015 Filed Jul 10, 2017 14:26 UTC Amendment | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-012453 · doc4a.xml · derivative · entry 1 Allison Paul D · CIK 0001453440 · Chair, President & CEO RJ Ltd. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2018-09-30 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. F2 · derivative.exercise_date: RSUs vest 100% on 9/30/2018. F2 · derivative.expiration_date: RSUs vest 100% on 9/30/2018. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.