Option
RANEY STEVEN M officer: President & CEO RJBank officer: President & CEO RJBank
Common Stock 896 N/A N/A Option
PERRY JODI officer: President, ICD for RJFS officer: President, ICD for RJFS
Common Stock 206 N/A N/A Option
PERRY JODI officer: President, ICD for RJFS officer: President, ICD for RJFS
Restricted Stock Units 206 N/A N/A Option
TROCIN JEFFREY E officer: Vice Chairman officer: Vice Chairman
Common Stock 1,931 N/A N/A Option
ALLISON PAUL D officer: Chair, President & CEO RJ Ltd. officer: Chair, President & CEO..
Common Stock 1,085 N/A N/A Option
CATANESE GEORGE officer: Chief Risk Officer officer: Chief Risk Officer
Common Stock 1,072 N/A N/A Option
DOWDLE JEFFREY A officer: COO & Head of Asset Mgmt. officer: COO & Head of Asset Mg..
Restricted Stock Units 1,793 N/A N/A Option
TROCIN JEFFREY E officer: Vice Chairman officer: Vice Chairman
Restricted Stock Units 1,931 N/A N/A Option
ACKART JENNIFER C officer: SVP, Controller & CAO officer: SVP, Controller & CAO
Restricted Stock Units 291 N/A N/A Option
DOWDLE JEFFREY A officer: COO & Head of Asset Mgmt. officer: COO & Head of Asset Mg..
Common Stock 1,793 N/A N/A Option
JULIEN JEFFREY P officer: Executive VP - Fin officer: Executive VP - Fin
Common Stock 2,155 N/A N/A Option
ALLISON PAUL D officer: Chair, President & CEO RJ Ltd. officer: Chair, President & CEO..
Restricted Stock Units 1,085 N/A N/A Option
CARSON JOHN C JR. officer: President officer: President
Common Stock 3,620 N/A N/A Option
JAMES THOMAS A director, officer: Chairman Emeritus director, officer: Chairman Eme..
Common Stock 3,103 N/A N/A Option
JAMES THOMAS A director, officer: Chairman Emeritus director, officer: Chairman Eme..
Restricted Stock Units 3,103 N/A N/A Option
BUNN JAMES E officer: Pres-GlobEq&Inv Banking-RJA officer: Pres-GlobEq&Inv Bankin..
Restricted Stock Units 4,597 N/A N/A Option
ALLAIRE BELLA LOYKHTER officer: Executive Vice President-RJA officer: Executive Vice Preside..
Restricted Stock Units 2,069 N/A N/A Option
ALLAIRE BELLA LOYKHTER officer: Executive Vice President-RJA officer: Executive Vice Preside..
Common Stock 2,069 N/A N/A Option
ELWYN TASHTEGO S officer: CEO & President - RJA officer: CEO & President - RJA
Common Stock 1,517 N/A N/A Option
REILLY PAUL C director, officer: Chairman & CEO director, officer: Chairman & CEO
Common Stock 18,446 N/A N/A Option
RANEY STEVEN M officer: President & CEO RJBank officer: President & CEO RJBank
Restricted Stock Units 896 N/A N/A Option
CURTIS SCOTT A officer: President, PCG officer: President, PCG
Common Stock 1,793 N/A N/A Option
REILLY PAUL C director, officer: Chairman & CEO director, officer: Chairman & CEO
Restricted Stock Units 18,446 N/A N/A Option
ELWYN TASHTEGO S officer: CEO & President - RJA officer: CEO & President - RJA
Restricted Stock Units 1,517 N/A N/A Option
ACKART JENNIFER C officer: SVP, Controller & CAO officer: SVP, Controller & CAO
Common Stock 291 N/A N/A Option
ELWYN TASHTEGO S officer: CEO & President - RJA officer: CEO & President - RJA
Common Stock 1,802 N/A N/A Option
ELWYN TASHTEGO S officer: CEO & President - RJA officer: CEO & President - RJA
Employee Stock Option (right to buy) 1,802 N/A N/A Sale
REILLY PAUL C director, officer: Chairman & CEO director, officer: Chairman & CEO
Common Stock 11,621 N/A N/A Sale
ACKART JENNIFER C officer: SVP, Controller & CAO officer: SVP, Controller & CAO
Common Stock 2,500 N/A N/A Sale
ELWYN TASHTEGO S officer: CEO & President - RJA officer: CEO & President - RJA
Common Stock 3,134 N/A N/A Option
ELWYN TASHTEGO S officer: CEO & President - RJA officer: CEO & President - RJA
Common Stock 3,134 N/A N/A Option
ELWYN TASHTEGO S officer: CEO & President - RJA officer: CEO & President - RJA
Employee Stock Option (right to buy) 3,134 N/A N/A Sale
ALLISON PAUL D officer: Chair, President & CEO RJ Ltd. officer: Chair, President & CEO..
Common Stock 9,628 N/A N/A Sale
ACKART JENNIFER C officer: SVP, Controller & CAO officer: SVP, Controller & CAO
Common Stock 2,000 N/A N/A Sale
CATANESE GEORGE officer: Chief Risk Officer officer: Chief Risk Officer
Common Stock 908 N/A N/A Sale
SANTELLI JONATHAN N officer: EVP, Gen Counsel, Secy officer: EVP, Gen Counsel, Secy
Common Stock 2,270 N/A N/A Option
BUNN JAMES E officer: Pres-GlobEq&Inv Banking-RJA officer: Pres-GlobEq&Inv Bankin..
Common Stock 1,800 N/A N/A Option
ALLAIRE BELLA LOYKHTER officer: Executive Vice President-RJA officer: Executive Vice Preside..
Common Stock 4,200 N/A N/A Option
PERRY JODI officer: President, ICD for RJFS officer: President, ICD for RJFS
Common Stock 600 N/A N/A Option
RANEY STEVEN M officer: President & CEO RJBank officer: President & CEO RJBank
Restricted Stock Units 3,000 N/A N/A Option
RANEY STEVEN M officer: President & CEO RJBank officer: President & CEO RJBank
Common Stock 3,000 N/A N/A Option
TROCIN JEFFREY E officer: Vice Chairman officer: Vice Chairman
Common Stock 3,000 N/A N/A Option
ELWYN TASHTEGO S officer: CEO & President - RJA officer: CEO & President - RJA
Restricted Stock Units 3,000 N/A N/A Option
DOWDLE JEFFREY A officer: COO & Head of Asset Mgmt. officer: COO & Head of Asset Mg..
Restricted Stock Units 3,000 N/A N/A Option
SANTELLI JONATHAN N officer: EVP, Gen Counsel, Secy officer: EVP, Gen Counsel, Secy
Restricted Stock Units 3,000 N/A N/A Option
ACKART JENNIFER C officer: SVP, Controller & CAO officer: SVP, Controller & CAO
Restricted Stock Units 1,800 N/A N/A Option
CATANESE GEORGE officer: Chief Risk Officer officer: Chief Risk Officer
Common Stock 1,200 N/A N/A Option
CURTIS SCOTT A officer: President, PCG officer: President, PCG
Restricted Stock Units 3,000 N/A N/A Option
TROCIN JEFFREY E officer: Vice Chairman officer: Vice Chairman
Restricted Stock Units 3,000 N/A N/A Option
CARSON JOHN C JR. officer: President officer: President
Restricted Stock Units 3,000 N/A N/A