Sec Form 3 Filing - Carter Horace @ RAYMOND JAMES FINANCIAL INC - 2022-01-01

Insider filing report for Changes in Beneficial Ownership
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FORM 3
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Carter Horace
2. Issuer Name and Ticker or Trading Symbol
RAYMOND JAMES FINANCIAL INC [ RJF]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
President, Fixed Income
(Last) (First) (Middle)
880 CARILLON PARKWAY
3. Date of Earliest Transaction (MM/DD/YY)
01/01/2022
(Street)
ST. PETERSBURG, FL33716
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 18,433( 1 ) D
Common Stock 1,129( 2 ) I ESOP
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units ( 5 ) ( 3 ) 11/22/2022 Common Stock 360( 4 ) D
Restricted Stock Units ( 5 ) ( 6 ) 11/22/2024 Common Stock 3,750( 7 ) D
Restricted Stock Units ( 5 ) ( 8 ) 11/29/2023 Common Stock 900( 9 ) D
Restricted Stock Units ( 5 ) ( 10 ) 11/30/2025 Common Stock 7,500( 11 ) D
Restricted Stock Units ( 5 ) ( 12 ) 11/30/2026 Common Stock 6,113 D
Restricted Stock Units ( 5 ) 04/15/2022 04/15/2022 Common Stock 144( 13 ) D
Restricted Stock Units ( 5 ) 05/15/2022 05/15/2022 Common Stock 150( 14 ) D
Restricted Stock Units ( 5 ) 07/15/2022 07/15/2022 Common Stock 446( 15 ) D
Restricted Stock Units ( 5 ) 10/15/2022 10/15/2022 Common Stock 591( 16 ) D
Restricted Stock Units ( 5 ) 12/03/2024 12/03/2024 Common Stock 7,836( 17 ) D
Restricted Stock Units ( 5 ) 12/04/2023 12/04/2023 Common Stock 5,217( 18 ) D
Restricted Stock Units ( 5 ) 12/13/2022 12/13/2022 Common Stock 549( 19 ) D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Carter Horace
880 CARILLON PARKWAY
ST. PETERSBURG, FL33716
President, Fixed Income
Signatures
/s/ Horace Carter by Jonathan J. Doyle as Attorney-in-Fact 01/10/2022
Signature of Reporting Person Date
Explanation of Responses:
( 1 )On September 21, 2021, the common stock of RJF split 3-for-2, resulting in the reporting person's ownership of additional shares of common stock.
( 2 )Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through December 31, 2021, but was adjusted to reflect the stock split that occurred on Septmber 21, 2021.
( 3 )Of the 1,200 RSUs granted on 11/22/2017, 60% vested on 11/22/2020, 20% vested on 11/22/2021, and 20% will vest on 11/22/2022.
( 4 )The RSU grant of 1,200 shares awarded on November 22, 2017, of which 240 shares remained outstanding, was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
( 5 )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.
( 6 )Of the 2,500 RSUs granted on 11/22/2019, 60% will vest on 11/22/2022, 20% will vest on 11/22/2023, and 20% will vest on 11/22/2024.
( 7 )The RSU grant of 2,500 shares awarded on November 22, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
( 8 )Of the 1,500 RSUs granted on 11/29/2018, 60% vested on 11/29/2021, 20% will vest on 11/29/2022, and 20% will vest on 11/29/2023.
( 9 )The RSU grant of 1500 shares awarded on November 29, 2018, of which 600 shares remained outstanding, was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
( 10 )Of the 5,000 RSUs granted on 11/23/2020, 60% will vest on 11/30/2023, 20% will vest on 11/30/2024, and 20% will vest on 11/30/2025.
( 11 )The RSU grant of 5,000 shares awarded on November 23, 2020 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
( 12 )Of the 6,113 RSUs granted on 11/22/2021, 60% will vest on 11/30/2024, 20% will vest on 11/30/2025, and 20% will vest on 11/30/2026.
( 13 )RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 96 shares awarded on April 15, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
( 14 )RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 100 shares awarded on May 15, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
( 15 )RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 297 shares awarded on July 15, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
( 16 )RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 394 shares awarded on October 15, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
( 17 )RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan.
( 18 )RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 3,478 shares awarded on December 4, 2020 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.
( 19 )RSUs granted as a portion of annual bonus under 2012 Stock Incentive Plan. The RSU grant of 366 shares awarded on December 13, 2019 was adjusted to reflect the 3-for-2 stock split by means of a stock dividend that occurred on September 21, 2021.

Remarks:
carterpoa.txt

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