RJF insider Thomas A. James reports holdings
RAYMOND JAMES FINANCIAL INC insider Thomas A. James filed an initial Form 3 reporting his beneficial ownership in the company’s securities.
Rhea-AI Filing Summary
RAYMOND JAMES FINANCIAL INC insider Thomas A. James filed an initial Form 3 reporting his beneficial ownership in the company’s securities. He is identified as a ten percent owner and lists several indirect holdings of common stock through family-related accounts and entities.
The filing reports 162,730 shares of common stock held indirectly through a spouse and 745 shares held indirectly through an Employee Stock Ownership Plan account as of June 16, 2026. It also discloses 17,459,133 shares held indirectly by the Thomas A. James Family Revocable Trust, 1,500,000 shares held by TA James Ventures Partnership, and 50,625 shares held by James Ventures, Inc.
In addition, James reports direct derivative interests in equity awards. These include 1,353 Restricted Stock Units, each tied to one share of common stock and associated cash in lieu of dividends, with an expiration date of December 15, 2026, and 1,352 Performance Restricted Stock Units linked to common stock with an expiration date of December 31, 2026.
Positive
- None.
Negative
- None.
Insider Trade Summary
7 transactions reported
Mixed
7 txns
Insider
JAMES THOMAS A
Role
10% Owner
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | Performance Restricted Stock Units | -- | -- | -- |
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Performance Restricted Stock Units — 1,352 contracts (Direct);
Restricted Stock Units — 1,353 contracts (Direct);
Common Stock — 50,625 shares (Indirect, By James Ventures, Inc.);
Common Stock — 1,500,000 shares (Indirect, By TA James Ventures Partnership);
Common Stock — 17,459,133 shares (Indirect, By Thomas A. James Family Rev Trust);
Common Stock — 745 shares (Indirect, ESOP);
Common Stock — 162,730 shares (Indirect, Spouse)
Footnotes (2)
- F1. Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account through June 16, 2026.
- F2. 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.
Key Figures
Spouse indirect holding: 162,730 shares
ESOP indirect holding: 745 shares
Family trust holding: 17,459,133 shares
+4 more
7 metrics
Spouse indirect holding
162,730 shares
Common stock held indirectly through spouse as of June 16, 2026
ESOP indirect holding
745 shares
Common stock in Employee Stock Ownership Plan through June 16, 2026
Family trust holding
17,459,133 shares
Common stock held indirectly by Thomas A. James Family Revocable Trust
TA James Ventures Partnership holding
1,500,000 shares
Common stock held indirectly by TA James Ventures Partnership
James Ventures, Inc. holding
50,625 shares
Common stock held indirectly by James Ventures, Inc.
Restricted Stock Units
1,353 units
RSUs tied to common stock, expiration December 15, 2026, direct holding
Performance Restricted Stock Units
1,352 units
Performance RSUs tied to common stock, expiration December 31, 2026, direct holding
Key Terms
Employee Stock Ownership Plan (ESOP), Restricted Stock Unit (RSU), Performance Restricted Stock Units, ten percent owner
4 terms
Employee Stock Ownership Plan (ESOP) financial
"Includes shares of common stock acquired under the reporting person's Employee Stock Ownership Plan (ESOP) account"
An employee stock ownership plan (ESOP) is a company-run retirement and ownership program that gives workers shares or the right to buy shares, so employees collectively hold part of the business. It matters to investors because ESOPs change who owns the company and can affect share supply, corporate incentives and long-term performance—think of it like turning employees into partial owners, which can align interests but also dilute existing shareholders or alter cash flows for payouts.
Restricted Stock Unit (RSU) financial
"Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award"
A restricted stock unit (RSU) is a promise from a company to give an employee company shares (or cash equal to their value) at a future date if certain conditions are met, such as staying with the company or hitting performance targets. For investors, RSUs matter because when they convert into actual shares they increase the number of shares available and can create selling pressure as employees cash out—think of them as a future paycheck paid in company stock.
Performance Restricted Stock Units financial
"Performance Restricted Stock Units, underlying security title Common Stock, expiration date December 31, 2026"
Performance restricted stock units (PRSUs) are promises to deliver company shares to employees or executives only if the business meets specific performance targets and any time-based holding rules. Think of them as a bonus that converts into stock only after set goals are reached, so investors watch PRSUs for two reasons: they can dilute existing shares if paid out, and they signal how closely management’s pay is tied to company performance.
ten percent owner financial
"reporting person is marked as a ten percent owner of the issuer"
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What does the RJF Form 3 filing by Thomas A. James disclose?
The Form 3 shows that Thomas A. James is a ten percent owner of Raymond James Financial, reporting indirect common stock holdings through his spouse, ESOP account, a family revocable trust, TA James Ventures Partnership, James Ventures, Inc., plus direct restricted stock unit awards.
What ESOP and spouse holdings in RJF stock are reported for Thomas A. James?
The filing shows 162,730 Raymond James Financial common shares held indirectly through a spouse and 745 shares in an Employee Stock Ownership Plan account, which includes ESOP acquisitions through June 16, 2026, contributing to his reported beneficial ownership.
What Restricted Stock Units in RJF does Thomas A. James report?
He reports 1,353 Restricted Stock Units, each representing a contingent right to receive one share of Raymond James Financial common stock plus accrued cash in lieu of dividends, with an expiration date of December 15, 2026, held as a direct derivative position.
What Performance Restricted Stock Units tied to RJF stock are disclosed?
The Form 3 discloses 1,352 Performance Restricted Stock Units, each linked to one share of Raymond James Financial common stock, with an exercise date of September 30, 2026 and an expiration date of December 31, 2026, reported as a direct derivative holding.
AI-generated analysis. How Rhea-AI works. Not financial advice.
