James Berry to sell 33,764 shares of Raymond James (NYSE: DC)

Rhea-AI Filing Summary

James Berry reported a proposed sale of 33,764 common shares derived from RSUs of the issuer listed as Raymond James & Associates with an effective date of 03/01/2026 and cash settlement referenced on 03/04/2026. The filing also shows a prior sale of 12,388 common shares on 02/27/2026 for $86,050.

Insights

Corporate Governance Analyst

Proposed affiliate sale of RSU-derived common shares; prior small sale recorded.

The filing lists a proposed sale of 33,764 RSU-derived common shares with settlement described as Cash on 03/04/2026. The notice is a routine affiliate liquidity disclosure under resale rules.

Prior activity includes a reported sale of 12,388 shares on 02/27/2026 for $86,050. The actual timing and execution depend on market and broker arrangements; subsequent transaction notices will show completion details.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Raymond James & Associates 880 Carillon Parkway St. Petersburg FL 33716	8874	55844.00	128500000	03/04/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	03/01/2026	RSU	Issuer			33764	03/04/2026	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
James Berry 21655 Gold Dust Trl Nemo SD 57759	Common	02/27/2026	12388	86050.00

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does James Berry's Form 144 for DC indicate?

It indicates a proposed sale of 33,764 RSU-derived common shares with a referenced cash settlement date of 03/04/2026. The filing notifies the market of an affiliate's intent to sell, as shown in the excerpt.

How many shares did James Berry sell recently per the filing?

The excerpt shows a past sale of 12,388 common shares on 02/27/2026 for $86,050. That transaction is listed under "Securities Sold During The Past 3 Months."

Are the shares to be sold RSUs or open-market shares?

The filing lists the securities to be sold as RSU-derived common shares (scheduled 03/01/2026). The entry labels the source as Issuer and indicates a cash settlement method on 03/04/2026.

Who is the issuer named in the Form 144 excerpt?

The excerpt identifies the issuer as Raymond James & Associates with exchange noted as NYSE. The symbol in metadata is DC, shown alongside issuer details.

Does the Form 144 guarantee the sale occurred?

No; the Form 144 in the excerpt reports a proposed sale of 33,764 shares and records a prior sale. Completion and settlement are determined by execution; subsequent filings would confirm final transactions.