Raymond James SEC Filings

Raymond James Financial, Inc. has issued its definitive proxy statement for the 2026 annual meeting, where shareholders will vote on electing 12 directors, an advisory say‑on‑pay proposal, an amended and restated 2012 Stock Incentive Plan, an amended and restated 2003 Employee Stock Purchase Plan, and ratification of KPMG LLP as auditor for fiscal 2026.

The company reports its fifth consecutive year of record results in fiscal 2025, with net revenues of $14.1 billion, net income available to common shareholders of $2.1 billion, return on common equity of 17.7% and adjusted return on tangible common equity of 21.3%. It returned more than $1.5 billion to shareholders via dividends and buybacks, and highlights 151 consecutive profitable quarters, $1.73 trillion of client assets and approximately 8,900 financial advisors.

The proxy also seeks approval to increase the 2012 Stock Incentive Plan share authorization by 2,600,000 shares to 98,965,916 shares and to extend the ESPP’s term to March 31, 2036 without increasing its share reserve.

Raymond James Financial Chief Strategy Officer Tarek Helal reported insider stock transfers involving company common shares. On December 30, 2025, he reported gifts of small share amounts coded as "G" (bona fide gifts) between trusts for which he serves as trustee, including the Mohamed Anis Helal March 2022 GRAT #4 and the Tarek Helal 2021 Gifting Trust.

Following these transactions, he continues to hold 25,029 shares of Raymond James common stock directly and additional shares through indirect holdings. These indirect interests include 535 shares held in an Employee Stock Ownership Plan as of December 10, 2025, and trust accounts used for estate planning. One of the reporting trusts no longer holds Raymond James shares after the reported gifts.

Raymond James Financial Inc. is having a specific class of its securities removed from listing and registration on the New York Stock Exchange LLC. The affected security is the company’s Depositary Shares, each representing a 1/40th interest in a share of 6.375% Fixed-to-Floating Rate Series B Non-Cumulative Perpetual Preferred Stock. The NYSE filed Form 25 to certify that it has met the requirements under Section 12(b) of the Securities Exchange Act of 1934 and applicable SEC rules to strike this class of securities from listing and/or withdraw its registration.

Raymond James Financial, Inc. furnished a current report to share that it issued a press release with its operating data for November 2025. The press release, dated December 17, 2025, is attached as Exhibit 99.1 and is incorporated herein by reference.

The company states that this information is being "furnished" rather than "filed" under securities laws, so it is not subject to certain Section 18 liability provisions and will only be incorporated into other SEC filings if specifically stated. The report also includes the cover page interactive data file as Exhibit 104.

Raymond James Financial executive Jonathan N. Santelli, EVP, General Counsel and Secretary, reported stock and RSU activity dated 12/15/2025. Previously granted restricted stock units (RSUs) converted into common shares, and some of those shares were surrendered back to the company at $163.85 per share to cover tax withholding related to the vesting. On the same date, he received new RSU grants, including 3,661 units that vest 60% on 12/15/2028 and 20% on each of 12/15/2029 and 12/15/2030, and 1,488 units awarded as part of his annual bonus that are scheduled to vest in 2028. Each RSU represents the right to receive one share of Raymond James Financial common stock plus accrued cash in lieu of dividends upon vesting. Following these transactions, he beneficially owned 31,353 common shares directly and 540 shares indirectly through an employee stock ownership plan.

An officer of Raymond James Financial Inc., serving as Executive Chair of RJBank, reported equity transactions dated 12/15/2025. Previously granted restricted stock units (RSUs) vested, converting 3,264 and 1,474 RSUs into common shares, while 547, 705 and 1,207 shares were withheld at $163.85 per share to cover associated tax obligations.

On the same date, the officer received new grants of 3,661 management RSUs and 1,488 RSUs as part of an annual bonus under the Amended and Restated 2012 Stock Incentive Plan. Following these transactions, the officer directly held 48,733 shares of common stock and indirectly held 3,156 shares through an Employee Stock Ownership Plan.

Raymond James Financial Inc. reported that its chief financial officer received two grants of restricted stock units on December 15, 2025. One award covers 3,661 RSUs that each convert into one share of common stock plus accrued cash in lieu of dividends, vesting 60% on December 15, 2028, 20% on December 15, 2029, and 20% on December 15, 2030.

A second award of 1,678 RSUs was granted as a portion of the officer's annual bonus under the Amended and Restated 2012 Stock Incentive Plan. Each unit represents a contingent right to receive common stock and accrued cash when vested, and both awards are reported as directly owned derivative securities.

Raymond James Financial Inc. reported equity transactions by Chief Administrative Officer Bella Loykhter Allaire. On 12/15/2025, restricted stock units vested into 3,287 and 3,264 shares of common stock at $0, and each unit represents a contingent right to receive one share plus accrued cash in lieu of dividends.

To cover tax liabilities from this vesting, Allaire disposed of 1,207, 1,217 and 1,574 shares at $163.85 per share to the issuer, resulting in 83,137 shares held directly and 1,251 shares held indirectly through an Employee Stock Ownership Plan. She also received new grants of 3,661 management RSUs and 3,357 RSUs as part of her annual bonus under the Amended and Restated 2012 Stock Incentive Plan, which are scheduled to vest between 12/15/2026 and 12/15/2030.