Item 5.07 Submission of Matters to a Vote of Security Holders
The Annual Meeting of Shareholders ofRaymond James Financial, Inc. (the "Company") was held onFebruary 18, 2021 . Proxies for the meeting were solicited by the Board of Directors (the "Board") pursuant to Section 14(a) of the Securities Exchange Act of 1934, and there was no solicitation in opposition to the Board's solicitations. At this meeting, the shareholders were requested to: (1) elect thirteen members of the Board of Directors, (2) approve, on an advisory (nonbinding) basis, the compensation of our named executive officers as disclosed in the proxy statement, and (3) ratify the appointment ofKPMG LLP as the Company's independent registered public accounting firm for the fiscal year endingSeptember 30, 2021 , all of which matters were described in the proxy statement. The following actions were taken by the Company's shareholders with respect to each of the foregoing items: 1. Election of Directors. All thirteen (13) nominees for director were elected by a majority of the votes cast. With respect to each nominee, there were 16,414,789 broker non-votes. The table below sets forth the voting results for each director. Director Votes Cast "For" Votes Cast "Against" Abstentions von Arentschildt, Charles G. 110,215,555 728,738 165,885 Debel, Marlene 110,615,385 314,184 180,609 Dutkowsky, Robert M. 106,777,231 4,145,372 187,575 Edwards, Jeffrey N. 110,559,373 363,951 186,854 Esty, Benjamin C. 110,644,238 298,016 167,924 Gates, Anne 110,484,097 386,999 239,082 Godbold, Francis S. 109,715,450 1,295,339 99,389 James, Thomas A. 110,123,548 920,146 66,484 Johnson, Gordon L. 107,773,294 3,153,609 183,275 McGeary, Roderick C. 110,617,981 297,822 194,375 Reilly, Paul C. 105,983,594 4,636,080 490,504 Seshadri, Raj 110,598,783 320,574 190,821 Story, Susan N. 108,372,855 2,583,731 153,592 2. Advisory vote on executive compensation. Our shareholders approved, on an advisory, non-binding basis, the compensation of our named executive officers by the affirmative vote of 95.69% of the votes cast. With respect to this proposal, there were 16,414,789 broker non-votes. The table below sets forth the voting results. Votes Cast "For" Votes Cast "Against" Abstentions 105,938,470 4,768,456 403,252
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3. To ratify the appointment ofKPMG LLP as the Company's independent registered public accounting firm. Our shareholders approved the ratification of the appointment ofKPMG LLP as the Company's independent registered public accounting firm for the fiscal year endingSeptember 30, 2021 by the affirmative vote of 98.13% of the votes cast. The table below sets forth the voting results, and there were no broker non-votes. Votes Cast "For" Votes Cast "Against" Abstentions 125,004,069 2,371,507 149,391
Item 7.01 Regulation FD Disclosure
OnFebruary 19, 2021 , the Company issued a press release announcing that the Board had declared a quarterly dividend of$0.39 per share for each outstanding share of common stock of the Company. The dividend is payable onApril 15, 2021 to shareholders of record onApril 1, 2021 .
A copy of the press release is attached to this Current Report as Exhibit 99.1 and is incorporated herein by reference.
The information in this Item 7.01, including any exhibits hereto, is being "furnished" and shall not be deemed to be "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference into any filing of the Company with theSecurities and Exchange Commission , whether made before or after the date hereof, regardless of any general incorporation language in such filings (unless the Company specifically states that the information or exhibit in this particular report is incorporated by reference).
Item 9.01 Financial Statements and Exhibits
(d) Exhibits. The following are filed as exhibits to this report: Exhibit No. Description 99.1
Press release, datedFebruary 19, 2021 , issued by
Raymond James Financial,
Inc. 104 Cover Page Interactive Data File (embedded within the Inline XBRL document).
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