Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| RAYMOND JAMES FINANCIAL INCRJF · Entity 3126 | COO & Head of Asset Mgmt. | January 02, 2024 | January 03, 2024 |
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 January 02, 2024 · Filed January 03, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 50,829 |
Reported balance
After 2024-01-02 transaction · row 1
1 source rowRow 1 · 2024-01-02 · Tax withholding · Disposed 913 · Balance 50,829 |
| Common StockSEC Table I · non-derivative | Indirectby Daughter EC | 1,125 |
Reported balance
Holding disclosure · report date 2024-01-02 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,125 F1: The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectESOP | 13,439 |
Reported balance
Holding disclosure · report date 2024-01-02 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 13,439 F2: Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 29, 2023. |
| Common StockSEC Table I · non-derivative | IndirectUTMA Custodian for Son GT | 1,125 |
Reported balance
Holding disclosure · report date 2024-01-02 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 1,125 F1: The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F2: Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 29, 2023.
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 |
|---|---|---|---|---|---|---|
| November 28, 2018 Filed Nov 30, 2018 18:48 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantCommon Stock | 2,822 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015995 · doc4.xml · nonDerivative · entry 1 Dowdle Jeffrey A · CIK 0001541020 · CAO & President, Asset Mgmt. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,185 F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2015. Read SEC document |
| November 18, 2018 Filed Nov 20, 2018 20:19 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015717 · doc4.xml · derivative · entry 5 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 3,000 shares Expires 2020-11-18 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 11/18/2018, and will vest 20% on 11/18/2019, and 20% on 11/18/2020. Read SEC document |
| November 18, 2018 Filed Nov 20, 2018 20:19 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015717 · doc4.xml · nonDerivative · entry 1 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,363 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 |
| December 15, 2017 Filed Dec 19, 2017 21:41 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 1,803 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018908 · doc4.xml · derivative · entry 7 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,803 Underlying: Common Stock · 1,803 shares Expires 2020-12-15 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. F4 · shares: Award of RSUs as a portion of annual bonus under Amended and Restated 2012 Stock Incentive Plan. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 21:41 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 2,099 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018908 · doc4.xml · derivative · entry 6 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,099 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 21:41 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 2,099 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018908 · doc4.xml · nonDerivative · entry 2 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,363 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 |
| December 11, 2017 Filed Dec 19, 2017 21:41 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 6,822 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018908 · doc4.xml · nonDerivative · entry 1 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,264 Read SEC document |
| December 07, 2017 Filed Dec 11, 2017 16:21 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | SaleCommon Stock | 8,021 | $88.67 | $711,190.79 |
DisclosureSEC source: 0001225208-17-018415 · doc4.xml · nonDerivative · entry 1 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,086 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 $88.57 to $88.81. F3 · balance_after: Includes 288 shares of common stock acquired on December 4, 2017 pursuant to the registrant's Employee Stock Purchase Plan. Read SEC document |
| November 30, 2017 Filed Dec 1, 2017 21:13 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-017976 · doc4.xml · derivative · entry 5 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2022-11-30 F4 · 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 vest 60% on 11/30/2020, 20% on 11/30/2021, and 20% on 11/30/2022. Read SEC document |
| November 29, 2017 Filed Dec 1, 2017 21:13 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantCommon Stock | 2,224 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-017976 · doc4.xml · nonDerivative · entry 1 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,819 F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2014. Read SEC document |
| September 15, 2017 Filed Sep 18, 2017 20:26 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 128 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-015091 · doc4.xml · nonDerivative · entry 1 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,595 Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 19:51 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 165 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043479 · doc4.xml · nonDerivative · entry 2 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,723 Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 19:51 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 1,793 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043479 · doc4.xml · derivative · entry 6 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,793 Underlying: Common Stock · 1,793 shares Expires 2019-12-15 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. F4 · shares: Award of RSUs as a portion of annual bonus under 2012 Stock Incentive Plan. Read SEC document |
| December 14, 2016 Filed Dec 19, 2016 19:51 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 230 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043479 · doc4.xml · nonDerivative · entry 1 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,888 Read SEC document |
| December 13, 2016 Filed Dec 14, 2016 20:00 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionRestricted Stock Units · Derivative | 2,048 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043161 · doc4.xml · derivative · entry 5 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,048 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 (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 13, 2016 Filed Dec 14, 2016 20:00 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 2,048 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-043161 · doc4.xml · nonDerivative · entry 1 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,118 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: Includes 342 shares of common stock acquired on December 2, 2016, pursuant to the registrant's Employee Stock Purchase Plan. Read SEC document |
| November 30, 2016 Filed Dec 2, 2016 13:18 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042568 · doc4.xml · derivative · entry 1 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2021-11-30 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. F2 · 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 22, 2016 Filed Nov 23, 2016 20:57 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $27.10 | $0.00 |
DisclosureSEC source: 0001225208-16-042197 · doc4.xml · derivative · entry 8 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 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. F4 · derivative.exercise_date: Options became exercisable - 6,000 on 11/22/14, 2,000 on 11/22/15 and 2,000 on 11/22/16. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 20:57 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Tax withholdingCommon Stock | 3,695 | $73.33 | $270,954.35 |
DisclosureSEC source: 0001225208-16-042197 · doc4.xml · nonDerivative · entry 4 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,728 Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 20:57 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | Exercise / conversionCommon Stock | 10,000 | $27.10 | $271,000.00 |
DisclosureSEC source: 0001225208-16-042197 · doc4.xml · nonDerivative · entry 3 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,423 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 20:57 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GrantCommon Stock | 2,027 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042197 · doc4.xml · nonDerivative · entry 2 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,423 F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/13/2013. Read SEC document |
| November 17, 2016 Filed Nov 23, 2016 20:57 UTC | RAYMOND JAMES FINANCIAL INC RJF · Entity 3126 | GiftCommon Stock | 353 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-042197 · doc4.xml · nonDerivative · entry 1 Dowdle Jeffrey A · CIK 0001541020 · President, Asset Mgmt Group 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,396 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.