Raymond James (CFG) files Form 144 listing compensation share lots for sale

Rhea-AI Filing Summary

Raymond James & Associates submitted a Form 144 notice related to proposed sales of Common stock of CFG. The filing lists multiple compensation-originated share lots dated 03/01/2020, 03/01/2019, 03/01/2018, and 03/01/2017.

Key Figures

Filing date: 04/23/2026 Lot dated 03/01/2020: 16,712 Lot dated 03/01/2019: 23,753 +3 more

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Filing date 04/23/2026 Form 144 header

Lot dated 03/01/2020 16,712 compensation-originated shares listed

Lot dated 03/01/2019 23,753 compensation-originated shares listed

Lot dated 03/01/2018 4,480 compensation-originated shares listed

Lot dated 03/01/2017 2,035 compensation-originated shares listed

Exchange NYSE Listed exchange in header

Key Terms

Form 144, compensation, securities to be sold

3 terms

Form 144 regulatory

"submitted a Form 144 notice related to proposed sales"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

compensation financial

"compensation-originated share lots dated 03/01/2020"

securities to be sold regulatory

"144: Securities To Be Sold Common"

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Raymond James & Associates 880 Carillon Parkway St. Petersburg FL 33716	46980	3077583.85	424983657	04/23/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	03/01/2020	compensation	ssuer			16712	03/01/2020	NA
Common	03/01/2019	compensation	issuer			23753	03/01/2019	NA
Common	03/01/2018	compensation	issuer			4480	03/01/2018	NA
Common	03/01/2017	compensation	issuer			2035	03/01/2017	NA

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does CFG Form 144 filed by Raymond James & Associates mean?

A Form 144 notifies the SEC of a proposed sale of restricted or control securities. This filing reports proposed sales of Common stock of CFG by Raymond James & Associates and lists the share lots and grant dates involved.

Which specific share lots are listed in the CFG Form 144?

The filing lists compensation-originated lots dated 03/01/2020 (16,712), 03/01/2019 (23,753), 03/01/2018 (4,480), and 03/01/2017 (2,035). These appear as the securities referenced for proposed sale.

Who is the filer on the CFG Form 144 and what role do they have?

The filer is identified as Raymond James & Associates. The document lists the filer and associates the proposed sales with compensation-originated security lots rather than an individual named insider in the excerpt provided.

Does the CFG Form 144 disclose timing or proceeds for the sales?

The excerpt shows a filing date of 04/23/2026 and identifies the NYSE listing, but it does not state sale prices or gross proceeds in the visible text. Timing and proceeds details are not included in the provided excerpt.

Are the listed securities described as compensation awards in the CFG Form 144?

Yes. Each listed lot in the excerpt is labeled with compensation as the origin, indicating the shares derive from compensation arrangements dated between 03/01/2017 and 03/01/2020.