RAYMOND JAMES FINANCIAL INC 10-K

ITEM 5. MARKET FOR REGISTRANT’S COMMON EQUITY, RELATED SHAREHOLDER MATTERS AND ISSUER PURCHASES OF EQUITY SECURITIES Our common stock is traded on the NYSE under the symbol “RJF.” As of November 18, 2021, we had 309 holders of record of our common stock. Shares of our common stock are held by a substantially greater number of beneficial owners, whose shares are held of record by banks, brokers, and other financial institutions. See Note 24 of the Notes to Consolidated Financial Statements of this Form 10-K for information regarding our intentions for paying cash dividends and the related capital restrictions. Information related to our compensation plans under which equity securities are authorized for issuance is presented in Note 23 of the Notes to Consolidated Financial Statements and Part III, Item 12 of this Form 10-K. We did not have any sales of unregistered securities for the fiscal years ended September 30, 2021, 2020 or 2019. 35 RAYMOND JAMES FINANCIAL, INC. AND SUBSIDIARIES We purchase our own stock from time to time in conjunction with a number of activities, each of which is described in the following paragraphs. The following table presents information on our purchases of our own stock, on a monthly basis, for the twelve months ended September 30, 2021. Share and per share information has been retroactively adjusted to reflect the September 2021 three-for-two stock split. Total number of shares purchased Average price per share Number of shares purchased as part of publicly announced plans or programs Approximate dollar value (in millions) at each month-end, of securities that may yet be purchased under the plans or programs October 1, 2020 – October 31, 2020 1,806 $ 53.36 — $487 November 1, 2020 – November 30, 2020 139,838 $ 60.33 — $487 December 1, 2020 – December 31, 2020 175,139 $ 62.01 161,625 $740 First quarter 316,783 $ 61.23 161,625 January 1, 2021 – January 31, 2021 3,602 $ 66.71 — $740 February 1, 2021 – February 28, 2021 10,412 $ 66.62 — $740 March 1, 2021 – March 31, 2021 752,640 $ 80.03 750,000 $680 Second quarter 766,654 $ 79.79 750,000 April 1, 2021 – April 30, 2021 1,331 $ 85.94 — $680 May 1, 2021 – May 31, 2021 — $ — — $680 June 1, 2021 – June 30, 2021 562,500 $ 85.70 562,500 $632 Third quarter 563,831 $ 85.70 562,500 July 1, 2021 – July 31, 2021 1,217 $ 86.71 — $632 August 1, 2021 – August 31, 2021 114 $ 90.55 — $632 September 1, 2021 – September 30, 2021 — $ — — $632 Fourth quarter 1,331 $ 87.04 — Fiscal year total 1,648,599 $ 78.24 1,474,125 In the preceding table, the total number of shares purchased includes shares purchased pursuant to the Restricted Stock Trust Fund, which was established to acquire our common stock in the open market and used to settle restricted stock units (“RSUs”) granted as a retention vehicle for certain employees of our wholly-owned Canadian subsidiaries. For more information on this trust fund, see Note 2 and Note 10 of the Notes to Consolidated Financial Statements of this Form 10-K. These activities do not utilize the repurchase authorization presented in the preceding table. The total number of shares purchased also includes shares repurchased as a result of employees surrendering shares as payment for option exercises or withholding taxes. These activities do not utilize the repurchase authorization presented in the preceding table. ITEM 6. RESERVED 36 RAYMOND JAMES FINANCIAL, INC. AND SUBSIDIARIES