96 unchanged sentences
4.5 Form of Depositary Receipt—Series B (included as part of Exhibit 4.4).
−Removed: Stock Purchase Agreement, dated January 11, 2012, between Raymond James Financial, Inc.
−Removed: and Regions Financial Corporation (excluding certain exhibits and schedules), incorporated by reference to Exhibit 10.19 to the Company’s Current Report on Form 8-K, filed with the Securities and Exchange Commission on January 12, 2012.
* Raymond James Financial, Inc.
14 unchanged sentences
* 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, incorporated by reference to Exhibit 10.3 to the Company’s Quarterly Report on Form 10-Q, filed with the Securities and Exchange Commission on February 8, 2022.
+Added: * Form of Restricted Stock Unit Award Notice and Agreement for Special Retention Award (performance-based vesting with rTSR) for Mr.
+Added: Reilly under the Amended and Restated 2012 Stock Incentive Plan, 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 December 19, 2022.
RAYMOND JAMES FINANCIAL, INC.
1 unchanged sentence
Exhibit Number Description
−Removed: * Form of Restricted Stock Unit Award Notice and Agreement for Special Retention Award (performance-based vesting with rTSR) for Mr.
−Removed: Reilly under the Amended and Restated 2012 Stock Incentive Plan, 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 December 19, 2022.
* Form of Restricted Stock Unit Award Notice and Agreement for Special Retention Award (time-based vesting) for Mr.
7 unchanged sentences
Amended and Restated Credit Agreement, dated as of April 6, 2023, 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 12, 2023.
+Added: Raymond James Financial, Inc.
+Added: Insider Trading Policy with Respect to Company Securi ties.
21 List of Subsidiaries.
2 unchanged sentences
Reilly pursuant to Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
−Removed: 31.2 Certification of Paul M.
−Removed: Shoukry pursuant to Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
+Added: 31.2 Certification of Jonathan W .
+Added: pursuant to Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32 Certification of Paul C.
−Removed: Reilly and Paul M.
−Removed: Shoukry pursuant to Rule 13a-14(b) and 18 U.S.C.
+Added: Reilly and Jonathan W .
+Added: pursuant to Rule 13a-14(b) and 18 U.S.C.
Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
+Added: Raymond James Financial, Inc.
+Added: Dodd-Frank Clawback Policy.
+Added: Raymond James Financial, Inc.
+Added: Co mpensation Recoupment Policy.
101.INS XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.
12 unchanged sentences
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of St.
−Removed: Petersburg, State of Florida, on the 21 st day of November 2023.
+Added: Petersburg, State of Florida, on the 26 th day of November 2024.
RAYMOND JAMES FINANCIAL, INC.
3 unchanged sentences
REILLY Chair and Chief Executive Officer (Principal Executive Officer) and Director November 26, 2024
−Removed: SHOUKRY Chief Financial Officer (Principal Financial Officer)
+Added: SHOUKRY President and Director
November 26, 2024
/s/ JONATHAN W.
−Removed: Senior Vice President and Chief Accounting Officer (Principal Accounting Officer)
+Added: Chief Financial Officer (Principal Financial Officer)
November 26, 2024
−Removed: /s/ THOMAS A.
−Removed: JAMES Chair Emeritus and Director November 21, 2023
+Added: /s/ KATHERINE H.
+Added: Chief Accounting Officer (Principal Accounting Officer)
+Added: November 26, 2024
/s/ MARLENE DEBEL Director November 26, 2024
Marlene Debel
−Removed: /s/ ROBERT M.
−Removed: DUTKOWSKY Director November 21, 2023
/s/ JEFFREY N.
12 unchanged sentences
MCGEARY Director November 26, 2024
+Added: /s/ CECILY MISTARZ
+Added: November 26, 2024
+Added: Cecily Mistarz
/s/ RAJ SESHADRI Director November 26, 2024
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.