3 unchanged sentences
Exhibit Number Description
+Added: 2.1 Agreement and Plan of Merger, dated October 20, 2021, among Raymond James Financial, Inc., Macaroon One LLC, Macaroon Two LLC and TriState Capital Holdings, Inc., incorporated by reference to Exhibit 2.1 to the Company’s Current Report on Form 8-K, filed with the Securities and Exchange Commission on October 26, 2021.
3.1 Restated Articles of Incorporation of Raymond James Financial, Inc.
1 unchanged sentence
3.2 Amended and Restated By-Laws of Raymond James Financial, Inc., reflecting amendments adopted by the Board of Directors on December 2, 2020, incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K, filed with the Securities and Exchange Commission on December 8, 2020.
−Removed: 4.1 Eighth Supplemental Indenture, dated as of April 1, 2021, for the 3.750% Senior Notes due 2051, between Raymond James Financial, Inc.
−Removed: and The Bank of New York Mellon Trust Company, N.A., as trustee, incorporated by reference to Exhibit 4.2 to the Company ’ s Current Report on Form 8-K, filed with the Securities and Exchange Commission on April 2, 2021.
−Removed: 10.1 Third Amendment to Credit Agreement, dated as of April 19, 2021, among Raymond James Financial, Inc., Raymond James & Associates, Inc., the Lenders party thereto and Bank of America, N.A., incorporated by reference to Exhibit 10.1 to the Company ’ s Current Report on Form 8-K, filed with the Securities and Exchange Commission on April 22, 2021.
+Added: 10.1 Support Agreement, dated October 20, 2021, by and among James F.
+Added: Getz, Brian S.
+Added: Fetterolf, Raymond James Financial, Inc., Macaroon One LLC and, solely for purposes of the last sentence of Section 9 thereof, TriState Capital Holdings, Inc., incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed with the Securities and Exchange Commission on October 26, 2021.
+Added: 10.2 Support Agreement, dated October 20, 2021, by and among T-VIII PubOpps LP, Raymond James Financial, Inc., Macaroon One LLC and, solely for purposes of the last sentence of Section 9 and Section 10(c) thereof, TriState Capital Holdings, Inc., incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K, filed with the Securities and Exchange Commission on October 26, 2021.
+Added: 10.3 Form of Restricted Stock Unit Award Notice and Agreement for Stock Bonus Award (performance-based vesting with rTSR) under the Amended and Restated 2012 Stock Incentive Plan.
31.1 Certification of Paul C.
15 unchanged sentences
RAYMOND JAMES FINANCIAL, INC.
−Removed: August 9, 2021 /s/ Paul C.
+Added: February 8, 2022 /s/ Paul C.
Chairman and Chief Executive Officer
−Removed: August 9, 2021 /s/ Paul M.
+Added: February 8, 2022 /s/ Paul M.
Chief Financial Officer and Treasurer
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.