JAMES THOMAS A 5
5 · RAYMOND JAMES FINANCIAL INC · Filed Nov 15, 2021
Insider Transaction Report
Form 5
JAMES THOMAS A
DirectorChairman/CEO10% Owner
Transactions
- Will/Inheritance
Common Stock
2021-04-12+400→ 108,487 total(indirect: By Spouse)
Holdings
- 50,625(indirect: By James Ventures, Inc.)
Common Stock
- 664,131(indirect: By Trust)
Common Stock
- 1,350(indirect: By Harbus Investors, Inc.)
Common Stock
- 677(indirect: ESOP)
Common Stock
- 1,500,000(indirect: By Partnership)
Common Stock
- 17,590,310(indirect: By Trust)
Common Stock
Footnotes (4)
- [F1]Reports the balance of common stock held prior to the RJF 3-for-2 stock split that occurred on September 21, 2021. After the RJF stock split, the amount of securities beneficially owned indirectly as of September 30, 2021 was 162,730 shares of common stock.
- [F2]On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's indirect ownership of additional shares of common stock.
- [F3]The reporting person is the trustee of the trust. 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. On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's indirect ownership of additional shares of common stock.
- [F4]Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through September 30, 2021, but was adjusted to reflect the stock split that occurred on September 21, 2021.