Option
MATECKI PAUL officer: Sr. VP - General Counsel officer: Sr. VP - General Counsel
Employee Stock Option (Right to buy 5,000 N/A N/A Option
HELCK CHESTER B director, officer: Executive Vice President director, officer: Executive Vi..
Employee Stock Option (right to buy) 15,000 N/A N/A Purchase
JULIEN JEFFREY P officer: Executive VP - Fin officer: Executive VP - Fin
Common Stock 10,000 N/A N/A Option
HELCK CHESTER B director, officer: Executive Vice President director, officer: Executive Vi..
Employee Stock Option (right to buy) 6,228 N/A N/A Option
HELCK CHESTER B director, officer: Executive Vice President director, officer: Executive Vi..
Common Stock 6,228 N/A N/A Sale
HABERMEYER H WILLIAM JR director director
Common Stock 2,531 N/A N/A Option
HABERMEYER H WILLIAM JR director director
Common Stock 2,531 N/A N/A Option
HABERMEYER H WILLIAM JR director director
Employee Stock Option (right to buy) 2,531 N/A N/A Purchase
TROCIN JEFFREY E officer: Vice Chairman officer: Vice Chairman
Common Stock 172 N/A N/A Option
SIMMONS HARDWICK director director
Common Stock 2,531 N/A N/A Option
SIMMONS HARDWICK director director
Employee Stock Option (right to buy) 2,531 N/A N/A Sale
SHIELDS KENNETH A director director
Common Stock 70,355 N/A N/A Option
SHIELDS KENNETH A director director
Common Stock 80,418 N/A N/A Option
SHIELDS KENNETH A director director
RJF Class D Exchangeable Shares 73,929 N/A N/A Purchase
ARMSTRONG KENNETH E officer: Assistant Secretary officer: Assistant Secretary
Common Stock 395 N/A N/A Purchase
TROCIN JEFFREY E officer: Vice Chairman officer: Vice Chairman
Common Stock 172 N/A N/A Sale
GODBOLD FRANCIS S director, officer: Vice Chairman director, officer: Vice Chairman
Common Stock 100,000 N/A N/A Sale
EITEL JOHN TIMOTHY officer: Chief Information Officer officer: Chief Information Offi..
Common Stock 9,000 N/A N/A Purchase
TROCIN JEFFREY E officer: Vice Chairman officer: Vice Chairman
Common Stock 194 N/A N/A Purchase
ARMSTRONG KENNETH E officer: Assistant Secretary officer: Assistant Secretary
Common Stock 393 N/A N/A Purchase
REILLY PAUL C director, officer: Chairman & CEO director, officer: Chairman & CEO
Common Stock 588 N/A N/A Option
BIEVER ANGELA officer: Chief Administrative Officer officer: Chief Administrative O..
Common Stock 2,244 N/A N/A Option
BIEVER ANGELA officer: Chief Administrative Officer officer: Chief Administrative O..
Employee Stock Option (right to buy) 2,244 N/A N/A Sale
BIEVER ANGELA officer: Chief Administrative Officer officer: Chief Administrative O..
Common Stock 1,030 N/A N/A Option
GODBOLD FRANCIS S director, officer: Vice Chairman director, officer: Vice Chairman
Common Stock 9,000 N/A N/A Option
HELCK CHESTER B director, officer: Executive Vice President director, officer: Executive Vi..
Employee Stock Option (right to buy) 13,500 N/A N/A Option
TREMAINE THOMAS R officer: Executive Vice President - RJA officer: Executive Vice Preside..
Common Stock 13,500 N/A N/A Option
RIESS RICHARD K officer: Executive Vice President officer: Executive Vice President
Employee Stock Option (right to buy) 9,225 N/A N/A Option
TREMAINE THOMAS R officer: Executive Vice President - RJA officer: Executive Vice Preside..
Employee Stock Option (right to buy) 13,500 N/A N/A Option
TROCIN JEFFREY E officer: Vice Chairman officer: Vice Chairman
Common Stock 4,500 N/A N/A Option
HELCK CHESTER B director, officer: Executive Vice President director, officer: Executive Vi..
Common Stock 13,500 N/A N/A Option
ZANK DENNIS W officer: Chief Operating Officer officer: Chief Operating Officer
Employee Stock Option (right to buy) 4,019 N/A N/A Option
GODBOLD FRANCIS S director, officer: Vice Chairman director, officer: Vice Chairman
Employee Stock Option (right to buy) 9,000 N/A N/A Option
TROCIN JEFFREY E officer: Vice Chairman officer: Vice Chairman
Employee Stock Option (right to buy) 4,500 N/A N/A Option
RIESS RICHARD K officer: Executive Vice President officer: Executive Vice President
Common Stock 9,225 N/A N/A Option
EITEL JOHN TIMOTHY officer: Chief Information Officer officer: Chief Information Offi..
Employee Stock Option (right to buy) 13,500 N/A N/A Option
MARSHALL PAUL W director director
Employee Stock Option (right to buy) 3,375 N/A N/A Option
MARSHALL PAUL W director director
Common Stock 3,375 N/A N/A Option
EITEL JOHN TIMOTHY officer: Chief Information Officer officer: Chief Information Offi..
Common Stock 13,500 N/A N/A Option
AVERITT RICHARD G officer: CEO - RJFS officer: CEO - RJFS
Employee Stock Option (right to buy) 13,500 N/A N/A Option
AVERITT RICHARD G officer: CEO - RJFS officer: CEO - RJFS
Common Stock 13,500 N/A N/A Option
MATECKI PAUL officer: Sr. VP - General Counsel officer: Sr. VP - General Counsel
Employee Stock Option (Right to buy 1,800 N/A N/A Option
MATECKI PAUL officer: Sr. VP - General Counsel officer: Sr. VP - General Counsel
Common Stock 1,800 N/A N/A Option
SAYLER VAN C officer: Senior Vice President officer: Senior Vice President
Common Stock 4,019 N/A N/A Option
SAYLER VAN C officer: Senior Vice President officer: Senior Vice President
Employee Stock Option (right to buy) 4,019 N/A N/A Option
JULIEN JEFFREY P officer: Executive VP - Fin officer: Executive VP - Fin
Employee Stock Option (right to buy) 11,500 N/A N/A Option
JULIEN JEFFREY P officer: Executive VP - Fin officer: Executive VP - Fin
Common Stock 11,000 N/A N/A Option
JULIEN JEFFREY P officer: Executive VP - Fin officer: Executive VP - Fin
Employee Stock Option (right to buy) 11,000 N/A N/A Option
ZANK DENNIS W officer: Chief Operating Officer officer: Chief Operating Officer
Common Stock 18,481 N/A N/A Option
ZANK DENNIS W officer: Chief Operating Officer officer: Chief Operating Officer
Employee Stock Option (right to buy) 18,481 N/A N/A