Statement of Changes in Beneficial Ownership (4)
May 05 2022 - 12:49PM
Edgar (US Regulatory)
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FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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|
| 1. Name
and Address of Reporting Person * JAMES THOMAS A |
2. Issuer Name and Ticker or Trading
Symbol RAYMOND JAMES FINANCIAL INC [ RJF ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Chairman Emeritus |
|
(Last)
(First)
(Middle)
880 CARILLON PARKWAY |
3. Date of Earliest Transaction (MM/DD/YYYY)
5/3/2022
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(Street)
ST. PETERSBURG, FL 33716
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. 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 |
5/3/2022 |
|
J |
|
664131.0000 |
D |
$0.0000 |
0.0000 (1) |
I |
By Robert A. James Trust |
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Common Stock |
|
|
|
|
|
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1350.0000 |
I |
By Harbus Investors, Inc. |
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Common Stock |
|
|
|
|
|
|
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50625.0000 |
I |
By James Ventures, Inc. |
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Common Stock |
|
|
|
|
|
|
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1500000.0000 |
I |
By TA James Ventures
Partnership |
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Common Stock |
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|
|
|
|
|
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17602700.0000 |
I |
By Thomas A. James Family Rev
Trust |
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Common Stock |
|
|
|
|
|
|
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677.0000 (2) |
I |
ESOP |
|
Common Stock |
|
|
|
|
|
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162730.0000 |
I |
Spouse |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
7. Title and Amount of Securities Underlying
Derivative Security
(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 |
| Explanation of
Responses: |
| (1) |
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. |
| (2) |
Amount of securities
reflects the balance after an IRS mandated required minimum
distribution from the ESOP for individuals over age 70 1/2 and the
receipt of additional allocations to the reporting person's account
under the ESOP through May 3, 2022. |
Remarks:
This Form 4 reports a distribution of shares to the beneficiaries
of a trust. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
JAMES THOMAS A
880 CARILLON PARKWAY
ST. PETERSBURG, FL 33716 |
X |
|
Chairman Emeritus |
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Signatures
|
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/s/ Thomas A. James by Jonathan J. Doyle as
Attorney-in-Fact |
|
5/4/2022 |
| **Signature of Reporting
Person |
Date |
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Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
| * |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
| ** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
|
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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