Raney Steven M's Form 4 filing
Raymond James Financial Inc (RJF) · filed Dec 18, 2023
- Accession no.
- 0001225208-23-011164
- Filed
- Dec 18, 2023
- Trade date
- Dec 15, 2023
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 3 derivative transactions. Open-market sales total $102.7K. It was filed 3 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Raney Steven MCIK 0001422342 | Officer (President & CEO RJBank) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 15, 2023 | Common Stock | MOption exerciseAcquired | +1,476 | $0.00F1 | $0 | 57,094 | Direct | |
| Dec 15, 2023 | Common Stock | FTax withholdingDisposed | −546 | $110.88 | −$60,540.48 | 56,548 | Direct | |
| Dec 15, 2023 | Common Stock | SSaleDisposed | −930 | $110.42 | −$102,690.6 | 55,618 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 15, 2023 | Common Stock | AGrant or awardAcquired | +5,411 | $0.00 | $0 | 5,411 | Direct | |
| Dec 15, 2023 | Common Stock | MOption exerciseDisposed | −1,476 | $0.00 | $0 | 0 | Direct | |
| Dec 15, 2023 | Common Stock | AGrant or awardAcquired | +1,691 | $0.00 | $0 | 1,691 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- 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.
Referenced by the price of 1 transaction in Table I.
Remarks
This Form 4 reports (i) the vesting of RSUs awarded to the reporting person on December 15, 2020, (ii) a disposition by the reporting person to the issuer to cover tax liability in connection with such vesting, (iii) the open market sale by the reporting person of shares of common stock, (iv) a grant of retention RSUs to the reporting person, and (v) a grant of RSUs as a portion of the annual bonus to the reporting person.