FR Y-6 OMS Number 7100-0297 Approval expires November 30, 2019 Page 1 of 2 Board of Governors of the Federal Reserve System .•·of·c·oJ··. . ~: Annual Report of Holding Companies-FR Y-6

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Report at the close of business as of the end of fiscal year

This Report is required by law: Section 5(c)(1 )(A) of the Bank This report form is to be filed by all top-tier bank holding compa­ Holding Company Act (12 U.S.C. § 1844(c)(1)(A)); sections 8(a) nies, top-tier savings and loan holding companies, and U.S. inter­ and 13(a) of the International Banking Act (12 U.S.C. §§ 3106(a) mediate holding companies organized under U.S. law, and by and 3108(a)); sections 11(a)(1), 25, and 25A of the Federal any foreign banking organization that does not meet the require­ Reserve Act (12 U.S.C. §§ 248(a)(1), 602, and 611a); and sec­ ments of and is not treated as a qualifying foreign banking orga­ tions 113, 165,312, 618, and 809 of the Dodd-Frank Act (12 U.S.C. nization under Section 211 .23 of Regulation K (12 C.F.R. § §§ 5361 , 5365, 5412, 1850a(c)(1), and 5468(b)(1)). Return to the 211.23). (See page one of the general instructions for more detail appropriate Federal Reserve Bank the original and the number of of who must file.) The Federal Reserve may not conduct or spon­ copies specified. sor, and an organization (or a person) is not required to respond to, an information collection unless it displays a currently valid 0MB control number.

NOTE: The Annual Report of Holding Companies must be signed by Date of Report (top-tier holding company's fiscal year-end): one director of the top-tier holding company. This individual should 09/30/2019 also be a senior official of the top-tier holding company. In the event Month/ Day I Year that the top-tier holding company does not have an individual who is a senior official and is also a director, the chairman of the board must RGUZHJ05YTITL6O76949 sign the report. If the holding company is an ESOP/ESOT formed as Reporte(s Legal Entity Identifier (LEI) (20-Character LEI Code) a corporation or is an LLC, see the General Instructions for the authorized individual who must sign the report. Reporter's Name, Street, and Mailing Address I, Paul Reilly Name of th e Holding Company Director and Official Raymond James Financial, Inc. Director/Chief Executive Officer Legal Title of Holding Company Tille of th e Holding Company Director and Official attest that the Annual Report of Holding Companies (including 880 Carillon Parkway th e supporting attachments) for this report date has been pre­ (Mailing Address of the Holding Company) Street I P.O. Box pared in conformance with the instructions issued by the Federal Reserve System and are true and correct to the best of my St. Petersburg FL 33716 knowledge and belief. City State Zip Code

With respect to information regarding individuals contained in this Physical Location (if different from mailing address) report, the Reporter certifies that it has the authority to provide this information to the Federal Re serve. Th e Reporter also certifies Person to whom questions about this report should be directed: that it has the authority, on behalf of each individual, to consent or Douglas Krueger Director of Financial Rptg object to public release of information regarding that individual. Name Title Th e Federal Reserve may assume, in the absence of a request for 727-567 -4329 confidential treatment submitted in accordance with th e Board's Area Code I Phone Number/ Extension "Rules Regarding Availability of Information, " 12 C.F.R. Part 261, 727-567-6581 that th e Rep_ individual consent to public release of all Area Code I FAX Number details i · g Iha ind· idua/. [email protected] E-mail Address

www.raymondjames.com Address (URL) for the Holding Company's we b page 12/30/19 Date of Signature

For holding companies aQf registered with th e SEC- Indicate status of Annual Report to Shareholders: :~i ~o:e~~~n~~~~~:~~~~t .r~~ .u~.s t ~~. '.~r.. a .~~ . ~~~i~~ . ~f.~ 0 is included with th e FR Y-6 report In accordance with th e General Instruction s for this report 0 will be sent under separate cover (check only one), 0 is not prepared 1. a letter justifying this request is being provided along with the report ...... []] For Federal Reserve Bank Use Only 2, a letter justifying this request has been provided separately.[KJ

RSSD ID NOTE: lnfonmation for which con fid ential treatment is being requested C.I. must be provided separately and labeled as "confidential." Public reporting burden for this information collection is estimated to vary from 1.3 to 101 hours per re sponse, with an average of 5.50 hours per response, including time to gather and maintain data in the required form and lo review instructions and complete the information co llection. Send comments regarding this burden estimate or any other aspect of this collection of information, induding suggestions for reducing this burden to: Secretary, Board of Governors of the Federal Reserve System, 20th and C Streets, NW, Washington, DC 20551 , and to the Office of Management and Budget, Pape,work Reduction Project r,100.0297), Washington, DC 20503. 03/2018 Form FR Y-6 Raymond James Financial, Inc. St. Petersburg, FL Fiscal Year Ending September 30, 2019 PUBLIC Report Item 2a: Organizational Chart - Companies Reportable on FR Y-10

ID_RSSD Legal/Popular Name Owner Company Ownership Partner/Member LEI Physical Address State or Country Percentage of Incorporation SAINT PETERSBURG, FL, 5081965 740780 CARILLON, LLC Raymond James Financial, Inc. 100% GP N/A Florida UNITED STATES SAINT PETERSBURG, FL, 5081974 800 CARILLON, LLC Raymond James Financial, Inc. 100% GP N/A Florida UNITED STATES ADVANCED PHOTOGRAPHIC SOLUTIONS, Non-managing CLEVELAND, TN, UNITED N/A Morgan Properties, LLC NR N/A DELAWARE LLC Member STATES SAINT PETERSBURG, FL, 4314134 CARILLON FUND DISTRIBUTORS, INC. Eagle Asset Management, Inc. 100% N/A N/A FLORIDA UNITED STATES ST. PETERSBURG, FL, 4802622 CARILLON TOWER ADVISERS, INC. Raymond James Financial, Inc. 100% N/A N/A FLORIDA UNITED STATES SAINT PETERSBURG, FL, 4314040 Carillon Fund Services, Inc. Carillon Tower Advisers, Inc. 100% N/A N/A FLORIDA UNITED STATES ST. PETERSBURG, FL, 5306547 Carillon Tower Series Hedge Fund, LLC CARILLON TOWER ADVISERS, INC. 0% GP N/A DELAWARE UNITED STATES SAN DIEGO, CA, UNITED 3594500 ClariVest Asset Management LLC Eagle Asset Management, Inc. 100% Managing Member N/A DELAWARE STATES SAN DIEGO, CA, UNITED 5306556 Clarivest Emerging Markets Equity Fund, L.P. Clarivest Asset Management LLC 0% GP N/A DELAWARE STATES Clarivest Emerging Markets Socially SAN DIEGO, CA, UNITED 5306538 Clarivest Asset Management LLC 0% GP N/A DELAWARE Responsible Fund LLC STATES Columbus, IN, UNITED 5194098 Columbus Core Plus Bond Fund, LLC Scout Investments, Inc. 0% GP N/A DELAWARE STATES Columbus, IN, UNITED 5194100 Columbus Ultra Low Duration Bond Fund LLC Scout Investments, Inc. 0% GP N/A DELAWARE STATES Columbus, IN, UNITED 5194089 Columbus Unconstrained Bond Fund, LLC Scout Investments, Inc. 0% GP N/A DELAWARE STATES SAINT PETERSBURG, 4865298 Cougar Global ETF Portfolio Management Inc. Cougar Global Investments Limited 100% N/A N/A ONTARIO CANADA 4865207 Cougar Global Investments Limited Raymond James International Canada, Inc. 100% N/A N/A TORONTO, CANADA ONTARIO SAINT PETERSBURG, FL, 4388229 EAGLE GROWTH PARTNERS I, L.P. EB Management I, LLC 1% GP N/A DELAWARE UNITED STATES SAINT PETERSBURG, FL, 4388210 EAGLE GROWTH PARTNERS II, L.P. EB Management I, LLC 1% GP N/A DELAWARE UNITED STATES SAINT PETERSBURG, FL, 4314143 EB MANAGEMENT I, LLC Eagle Asset Management, Inc. 50% Managing Member N/A FLORIDA UNITED STATES SAINT PETERSBURG, FL, 4314095 Eagle Asset Management, Inc. Carillon Tower Advisers, Inc. 100% N/A N/A FLORIDA UNITED STATES MEMPHIS, TN, UNITED 3022021 MK HOLDING, INC. Raymond James Financial, Inc. 100% N/A N/A ALABAMA STATES MEMPHIS, TN, UNITED 3022094 MK INVESTMENT MANAGEMENT, INC. MK Holding, Inc. 100% N/A N/A DELAWARE STATES MK LOUISIANA CHARITABLE HEALTHCARE NEW ORLEANS, LA, 3731145 Morgan Keegan & Company, LLC / Morgan Properties, LLC 100% GP/LP N/A DELAWARE FACILITIES FUND, LLC UNITED STATES MEMPHIS, TN, UNITED N/A MK-B BUILDING, LLC Morgan Properties, LLC 50% LP N/A TENNESSEE STATES SAINT PETERSBURG, FL, 4533104 MORGAN KEEGAN & ASSOCIATES, LLC MK Holding, Inc. 100% Managing Member N/A DELAWARE UNITED STATES SAINT PETERSBURG, FL, 1599239 MORGAN KEEGAN & COMPANY, LLC Raymond James Financial, Inc. 100% N/A N/A TENNESSEE UNITED STATES MORGAN KEEGAN PRIVATE EQUITY MEMPHIS, TN, UNITED 4424024 MK Investment Management, Inc. / Morgan Properties, LLC 49% GP/LP N/A DELAWARE EMPLOYEE FUND OF FUNDS II, LP STATES Morgan Keegan Private Equity Employee Fund of Funds II LP/ Morgan Keegan MORGAN KEEGAN PRIVATE EQUITY FUND SAINT PETERSBURG, FL, 4576334 Private Equity Fund of Funds II LP/ Morgan Keegan Private Equity QP Fund of 100% Managing Member N/A DELAWARE OF FUNDS II BLOCKER, LLC UNITED STATES Funds II LP MORGAN KEEGAN PRIVATE EQUITY FUND SAINT PETERSBURG, FL, 4576343 MK Investment Management, Inc. 1% GP N/A DELAWARE OF FUNDS II HOLDINGS, LP UNITED STATES MORGAN KEEGAN PRIVATE EQUITY FUND MEMPHIS, TN, UNITED 4424015 MK Investment Management, Inc. / Morgan Properties, LLC 49% GP/LP N/A DELAWARE OF FUNDS II, LP STATES MEMPHIS, TN, UNITED 3022085 MORGAN PROPERTIES, LLC Raymond James Investments, LLC 100% Managing Member N/A TENNESSEE STATES Morgan Keegan Private Equity QP Fund of MEMPHIS, TN, UNITED 4424033 MK Investment Management, Inc. 48% GP/LP N/A DELAWARE Funds II, L.P. STATES SAN DIEGO, CA, UNITED 5316434 NIELSEN BIOSCIENCES, INC RAYMOND JAMES INVESTMENTS, LLC 9% N/A N/A DELAWARE STATES PCA INSURANCE AGENCY, INC. (PUERTO ST. PETERSBURG, FL, 4388603 Raymond James Insurance Group, Inc. 100% N/A N/A PUERTO RICO RICO) UNITED STATES PLANNING CORPORATION OF AMERICA ST. PETERSBURG, FL, 4388685 Raymond James Insurance Group, Inc. 100% N/A N/A NEVADA (NEVADA) UNITED STATES San Jose, CA, UNITED N/A Plasma Ruggedized Solutions, Inc. Plasma Systems Holdings, Inc. 100% N/A N/A DELAWARE STATES San Jose, CA, UNITED N/A Plasma Systems Holdings, Inc. Morgan Properties, LLC NR N/A N/A DELAWARE STATES SAINT PETERSBURG, FL, 1622043 RAYMOND JAMES & ASSOCIATES, INC. Raymond James Financial, Inc. 100% N/A N/A FLORIDA UNITED STATES 4315001 RAYMOND JAMES (USA) LTD. Raymond James Ltd. 100% N/A N/A VANCOUVER, CANADA CANADA RAYMOND JAMES ASSET MANAGEMENT 4316866 Raymond James International Holdings, Inc. 56% N/A N/A PARIS, FRANCE (OTHER) FRANCE (OTHER) INTERNATIONAL, S.A. RAYMOND JAMES BANK, NATIONAL SAINT PETERSBURG, FL, 2193616 Raymond James Financial, Inc. 100% N/A N/A USA ASSOCIATION UNITED STATES SAINT PETERSBURG, FL, 4316428 RAYMOND JAMES CANADA, LLC Raymond James Financial, Inc. 100% Managing Member N/A FLORIDA UNITED STATES RAYMOND JAMES CANADIAN ACQUISTION, SAINT PETERSBURG, FL, 4392806 Raymond James Bank, National Association 100% N/A N/A FLORIDA INC. UNITED STATES RAYMOND JAMES CANADIAN HOLDINGS, SAINT PETERSBURG, FL, 4393214 Raymond James Canadian Acquisition, Inc. 100% Managing Member N/A FLORIDA LLC UNITED STATES SAINT PETERSBURG, FL, 4652658 RAYMOND JAMES CAPITAL FUNDING, INC. Raymond James Bank, National Association 100% N/A N/A FLORIDA UNITED STATES SAINT PETERSBURG, FL, 4314246 RAYMOND JAMES CAPITAL, INC. Raymond James Financial, Inc. 100% N/A N/A DELAWARE UNITED STATES RAYMOND JAMES CORPORATE FINANCE 5008980 Raymond James Global Holdings Limited 100% N/A N/A MUNICH, GERMANY GERMANY GMBH 4388331 RAYMOND JAMES EURO EQUITIES S.A.S. Raymond James European Securities, S.A.S. 100% N/A N/A PARIS, FRANCE (OTHER) FRANCE (OTHER) RAYMOND JAMES EUROPEAN SECURITIES, 4388359 Raymond James International Holdings, Inc. 100% N/A N/A PARIS, FRANCE (OTHER) FRANCE (OTHER) S.A.S. RAYMOND JAMES FINANCE COMPANY OF 4353759 Raymond James Canadian Holdings, LLC 100% N/A N/A TORONTO, CANADA CANADA CANADA LTD. UNITED RAYMOND JAMES FINANCIAL LONDON, UNITED 4316781 Raymond James International Holdings, Inc. 100% N/A N/A KINGDOM INTERNATIONAL LIMITED KINGDOM (OTHER) (OTHER) 4315047 RAYMOND JAMES FINANCIAL PLANNING Raymond James Ltd. 100% N/A N/A VANCOUVER, CANADA CANADA RAYMONDLTD. JAMES FINANCIAL PRODUCTS, SAINT PETERSBURG, FL, 3366855 MK Holding, Inc. 100% N/A N/A TENNESSEE INC. UNITED STATES RAYMOND JAMES FINANCIAL SERVICES SAINT PETERSBURG, FL, 4314031 Raymond James Financial, Inc. 100% N/A N/A FLORIDA ADVISORS, INC. UNITED STATES RAYMOND JAMES FINANCIAL SERVICES, SAINT PETERSBURG, FL, 4314880 Raymond James Financial, Inc. 100% N/A N/A FLORIDA INC. UNITED STATES SAINT PETERSBURG, FL, 3815157 RAYMOND JAMES FINANCIAL, INC. N/A 0% N/A N/A FLORIDA UNITED STATES UNITED RAYMOND JAMES GLOBAL HOLDINGS LONDON, UNITED 4990396 Raymond James International Holdings, Inc. 100% N/A N/A KINGDOM LIMITED KINGDOM (OTHER) (OTHER) SAINT PETERSBURG, FL, 4315065 RAYMOND JAMES INSURANCE GROUP, INC. Raymond James Financial, Inc. 100% N/A N/A FLORIDA UNITED STATES RAYMOND JAMES INTERNATIONAL SAINT PETERSBURG, FL, 4835022 Raymond James International Holdings, Inc. 100% N/A N/A FLORIDA CANADA, INC. UNITED STATES RAYMOND JAMES INTERNATIONAL SAINT PETERSBURG, FL, 4316736 Raymond James Financial, Inc. 100% N/A N/A FLORIDA HOLDINGS, INC. UNITED STATES RAYMOND JAMES INVESTMENT COUNSEL 5046320 Raymond James Ltd. 100% N/A N/A VANCOUVER, CANADA CANADA LTD RAYMOND JAMES INVESTMENT SERVICES 4315270 Raymond James Financial, Inc. 100% N/A N/A LONDON, ENGLAND ENGLAND LIMITED SAINT PETERSBURG, FL, 4314200 RAYMOND JAMES INVESTMENTS, LLC Raymond James Financial, Inc. 100% Managing Member N/A FLORIDA UNITED STATES 4314992 RAYMOND JAMES LTD. Raymond James Canada, LLC 100% N/A N/A VANCOUVER, CANADA CANADA SAINT PETERSBURG, FL, 5312454 RAYMOND JAMES MANAGEMENT, LLC Raymond James Investments, LLC 1% Managing member N/A DELAWARE UNITED STATES SAINT PETERSBURG, FL, 4566193 RAYMOND JAMES MANAGEMENT-EPG, LLC Raymond James Investments, LLC 0% Managing member N/A DELAWARE UNITED STATES RAYMOND JAMES MANAGEMENT- SAINT PETERSBURG, FL, 4566184 Raymond James Investments, LLC 0% Managing member N/A DELAWARE FORENSICS, LLC UNITED STATES RAYMOND JAMES MORTGAGE COMPANY, SAINT PETERSBURG, FL, 3022106 MK Holding, Inc. 100% N/A N/A TENNESSEE INC. UNITED STATES RAYMOND JAMES RESEARCH SERVICES, SAINT PETERSBURG, FL, 4317612 Raymond James Financial, Inc. 100% Managing Member N/A FLORIDA LLC UNITED STATES RAYMOND JAMES SOUTH AMERICAN SAINT PETERSBURG, FL, 4316848 Raymond James International Holdings, Inc. 100% N/A N/A FLORIDA HOLDINGS, INC. UNITED STATES SAINT PETERSBURG, FL, 5088722 RAYMOND JAMES TAX CREDIT FUNDS, INC. Raymond James Financial, Inc. 100% N/A N/A FLORIDA UNITED STATES 5419399 RAYMOND JAMES TRUST (QUEBEC) LTD. Raymond James Ltd. 100% N/A N/A Montreal, CANADA CANADA RAYMOND JAMES TRUST, NATIONAL SAINT PETERSBURG, FL, 2163477 Raymond James Financial, Inc. 100% N/A N/A USA ASSOCIATION UNITED STATES SAINT PETERSBURG, FL, 4317694 RJ CAPITAL SERVICES, INC. Raymond James Financial, Inc. 100% N/A N/A DELAWARE UNITED STATES SAINT PETERSBURG, FL, 5112168 RJ ECONOMIC DEVELOPMENT FUND, INC. Raymond James Financial, Inc. 100% N/A N/A FLORIDA UNITED STATES SAINT PETERSBURG, FL, 4388238 RJ SECURITIES, INC. Raymond James Investments, LLC 100% N/A N/A FLORIDA UNITED STATES SAINT PETERSBURG, FL, 4317685 RJA STRUCTURED FINANCE, INC. Raymond James Financial, Inc. 100% N/A N/A DELAWARE UNITED STATES SAINT PETERSBURG, FL, 4314424 RJC FORENSICS, LLC Raymond James Investments, LLC 100% Managing Member N/A DELAWARE UNITED STATES 5011739 Raymond James Corporate Finance GesmbH Raymond James Corporate Finance GMBH 100% N/A N/A VIENNA, AUSTRIA AUSTRIA ST. PETERSBURG, FL, 4388292 SALON LOFTS GROUP, LLC Raymond James Investments, LLC 13% LP N/A DELAWARE UNITED STATES Kansas City, MO, UNITED 3028694 SCOUT INVESTMENTS, INC. CARILLON TOWER ADVISERS, INC. 100% N/A N/A MISSOURI STATES YOUNGSVILLE, NC, 4387914 SIRCHIE ACQUISITION COMPANY, LLC RJC Forensics, LLC 99% Managing Member N/A DELAWARE UNITED STATES 5346002 SLA Acquisition Co. Raymond James Financial, Inc. 100% N/A N/A St Petersburg, Pinellas FLORIDA SAINT PETERSBURG, FL, 4388274 SLG PARTNERS GP, LLC Raymond James Investments, LLC / Raymond James Management, LLC 100% Managing Member N/A DELAWARE UNITED STATES ST. PETERSBURG, FL, 4388283 SLG PARTNERS, L.P. SLG Partners GP, LLC 1% GP N/A DELAWARE UNITED STATES SAINT PETERSBURG, FL, 4903837 SLG Partners, L.P. II SLG PARTNERS GP, LLC 1% GP N/A DELAWARE UNITED STATES 5375516 Silver Lane Advisors LLC SLA Acquisition Co. 100% N/A N/A New York, New York NEW YORK GP/Managing SAINT PETERSBURG, FL, 4890281 The Producers Choice LLC Raymond James Insurance Group, Inc. 100% N/A MICHIGAN Member UNITED STATES 5428083 Wiregrass Raymond James, LLC Raymond James Financial, Inc. 100% N/A N/A St Petersburg, Pinellas FLORIDA Form FR Y-6 Raymond James Financial, Inc. St. Petersburg, FL Fiscal Year Ending September 30, 2019 PUBLIC Report Item 2a: Organizational Chart - Additional Companies Reportable on FR Y-6 (not reportable on FR Y-10)

ID_RSSD Legal/Popular Name Owner Company Ownership Partner/Member LEI Physical Address State or Country Percentage of Incorporation SAINT PETERSBURG, FL, N/A Ballast Point Ventures II, L.P. Raymond James Investments, LLC 0% N/A N/A FLORIDA UNITED STATES SAINT PETERSBURG, FL, N/A Ballast Point Ventures III, L.P. Raymond James Investments, LLC 0% N/A N/A FLORIDA UNITED STATES BIRMINGHAM, AL, UNITED N/A Brookwood, LLC Raymond James Financial, Inc. 0% N/A N/A ALABAMA STATES BURLINGTON, VT, UNITED N/A Capco Holdings, Inc. Raymond James Financial, Inc. 0% N/A N/A VERMONT STATES MEMPHIS, TN, UNITED N/A Memphis Biomed Ventures I, L.P. Raymond James Investments, LLC 0% N/A N/A DELAWARE STATES NASHVILLE, TN, UNITED N/A Resolute Capital Partners, LP Morgan Properties, LLC 0% N/A N/A TENNESSEE STATES NASHVILLE, TN, UNITED N/A Resolute Capital SBIC Partners Morgan Properties, LLC 0% N/A N/A TENNESSEE STATES VALDOSTA, GA, UNITED N/A S & B Properties Ltd II Raymond James Financial, Inc. 0% N/A N/A GEORGIA STATES Form FR Y-6 Raymond James Financial, Inc. Fiscal Year Ending September 30, 2019 PUBLIC Report Item 2b: Domestic Branch Listing

Data Action Effective Date Branch Service Type Branch ID_RSSD Popular Name Street Address City State Zip Code County Country FDIC UNINUM* Office Number* Head Office Head Office ID_RSSD Comments 710 Carillon Raymond James Bank, OK 09-30-2019 Full Service (Head Office) 2193616 Raymond James Bank, NA St Petersburg FL 33716 Pinellas USA 54692 0 2193616 N/A Parkway NA Form FR Y-6 Raymond James Financial, Inc. Fiscal Year Ending September 30, 2019 PUBLIC Report Item 3: Securities holders (1)(a)(b)(c) and 2(a)(b)(c)

Current securities holders with ownership, control or holdings of 5% or more with power to Securities holders not listed in 3(1)(a) through 3(1)(c) that had ownership, control or holdings of 5% vote as of fiscal year ending 09-30-2019 or more with power to vote during the fiscal year ending 09-30-2019 (1)(a) (1)(b) (1)(c) (2)(a) (2)(b) (2)(c) Name, Country of Citizenship Number and Percentage of Name, Country of Citizenship Number and Percentage of City, State, Country or Incorporation Each Class of Voting City, State, Country or Incorporation Each Class of Voting Securities Securities BlackRock, Inc., New York, NY, USA 9269815 - 7% Common Stock N/A N/A N/A USA The Vanguard Group, Inc., USA 13783494 - 10% Common Stock N/A N/A N/A Malvern, PA, USA Thomas A. James, St 13868166 - 10% Common Stock, USA N/A N/A N/A Petersburg, FL, USA 19831 - .0144% RSU Form FR Y-6 Raymond James Financial, Inc. Fiscal Year Ending September 30, 2019 PUBLIC Report Item 4: Insiders (1),(2),(3)(a)(b)(c), and (4)(a)(b)(c) (1) (2) (3)(a) (3)(b) (3)(c) (4)(a) (4)(b) (4)(c) Name,City,State,Country Principal Occupation Title & Position with Title & Position with Title & Position with Other Percentage of Voting Percentage of Voting List names of other if other than with Holding Company Subsidiaries(include names of Businesses(include names of other Shares in Holding Shares in companies (includes Holding Company subsidiaries) businesses) Company Subsidiaries (include partnerships) if 25% or names of more of voting subsidiaries) securities are held (List names of companies and percentage of voting securities held)

Director - Tapestry, Inc., Director - Salzburg Global Seminar, Director - The Kroger Company, Director - Trustee - Public Media Group Retail - Retired of Southern California, Anne Gates, Los Angeles, President - MGA Director N/A Director - Board of Visitors - FU .0025% Confidential Confidential CA, USA Entertainment, Inc. Foundation School of Engineering and Applied Science at Columbia University, Director - Trustee - University of California Berkley Foundation, Director - CADRE

Bella Loykhter Allaire, St. EVP - Technology and Operations N/A N/A N/A .0714% Confidential Confidential Petersburg, FL, USA (Raymond James & Associates, Inc.) The Roy and Elizabeth Simmons Professor of Business Administration - Benjamin C. Esty, Lexington, Academics - Professor Director N/A Harvard Graduate School of Business .0097% Confidential Confidential MA, USA Administration, Director - Harvard Business Publishing Financial Services Charles G. von Arentschildt, Industry - Retired Director N/A N/A .0065% Confidential Confidential Paradise Valley, AZ, USA Executive Francis S. Godbold, St. Director (Raymond James Bank, NA), Trustee Emeritus - Georgia Tech N/A Director, Vice Chairman .1059% Confidential Confidential Petersburg, FL, USA Director and President (RJ Partners, Inc.) Foundation, Inc. George Catanese, St. N/A Chief Risk Officer N/A N/A .0172% Confidential Confidential Petersburg, FL, USA Transportation - Gordon L. Johnson, St. President - Highway Safety Devices, Highway Safety Director Director (Raymond James Bank, NA) .0151% Confidential Confidential Petersburg, FL, USA Inc. Devices, Inc.

Director, President (SLA Acquisition Co.), James E. Bunn, St. Director, President - Global Equities and N/A N/A N/A .0456% Confidential Confidential Petersburg, FL, USA Investment Banking (Raymond James & Associates, Inc.)

President, Asset Jeffrey A. Dowdle, Tampa, Management Group, and Trustee - Academy Prep. Center of N/A N/A .0814% Confidential Confidential FL, USA Chief Administrative Tampa Officer Manager and President (Raymond James Research Services, LLC), Jeffrey E. Trocin, Palm Director (Raymond James Ltd.), N/A Vice Chairman N/A .18% Confidential Confidential Harbor, FL, USA Director (Raymond James Bank, NA), Manager (Raymond James Investments, LLC) Partner & COO - New Vernon Advisors, LP, Jeffrey N. Edwards, Far Finance - New Vernon Director N/A Director - American Waterworks .0102% Confidential Confidential Hills, NJ, USA Capital Company, Inc., Director - New Vernon Mauritius

Director (Morgan Keegan & Company, LLC), Director (MK Holding, Inc.), Director and President (Morgan Keegan & Associates, LLC), Governor and Treasurer (Morgan Properties, LLC), Director (Raymond James Bank, NA), Jeffrey P. Julien, Clearwater, EVP - Finance, and Chief N/A Director (Raymond James & Associates, N/A .0591% Confidential Confidential FL, USA Financial Officer Inc.), Director and President (RJ Securities, Inc.), Manager (Raymond James Investments, LLC), Secretary and Treasurer (MK Investment Management, Inc.), Director and Treasurer (RJ Partners, Inc.)

Treasurer (Raymond James International Holdings, Inc.), Director and Treasurer (Raymond James International Canada, Inc.), Director and Treasurer (Raymond James South American Holdings, Inc.), Jennifer C. Ackart, Lutz, FL, SVP, Controller and Chief Vice President (Raymond James N/A N/A .0274% Confidential Confidential USA Accounting Officer Investments, LLC), Chief Financial Officer (Raymond James & Associates, Inc.), Director (Morgan Keegan & Associates, LLC), Director (Raymond James Ltd.), Senior Vice President (RJ Securities, Inc.)

Director, President - ICD (Raymond Director - St. Petersburg Free Clinic, Jodi L. Perry, St. Petersburg, James Financial Services, Inc.), N/A N/A Director - Florida Securities Dealer's .0105% Confidential Confidential FL, USA Director (Raymond James Financial Association Services Advisors, Inc.) Director and President (MK Holding, Inc.), Director and President (Morgan Keegan & John C. Carson, Jr., St. Company, LLC), N/A President N/A .0773% Confidential Confidential Petersburg, FL, USA Director (RJ Securities, Inc.), Director (Raymond James Financial International Limited) Chief Legal Officer (Raymond James Financial Services, Inc.), Jonathan N. Santelli, EVP, General Counsel Chief Legal Officer (Raymond James N/A Trustee - Straz Center .0184% Confidential Confidential Tampa, FL, USA and Secretary Financial Services Advisors, Inc.), General Counsel and Secretary (Raymond James & Associates, Inc.)

Executive Committee - American Securities Association, Paul C. Reilly, St. Chairman, Director, and N/A N/A Member - The University of Notre Dame .2% Confidential Confidential Petersburg, FL, USA Chief Executive Officer Business Advisory Council, Executive Committee - SIFMA

Director (Cougar Global ETF Portfolio Management Inc.), Director and Chairman (Raymond James Investment Services Limited), Director and Chairman (Raymond James Chairman - Drug Free Kids Canada, Financial International Limited), Director - Industry Investment Paul D. Allison, Toronto, ON, Director and Chairman (Raymond James Regulatory Organization of Canada, N/A N/A .0684% Confidential Confidential Canada Investment Counsel Ltd.), Director and Chairman - Raymond Director, Chairman, President and CEO James Canada Foundation, (Raymond James Ltd.), Director - Angels Gate Winery Director (Cougar Global Investments Limited), Director , Chairman, and Secretary (Raymond James Financial Planning Ltd.)

Trustee - Mount Holyoke College, Member - Management Board - Stanford Graduate School of Business, Member - Advisory Board - SAYA Financial Services (South Asia Youth Action), Raj Seshadri, New York, Industry - Mastercard Director N/A Member - Global Board - American .001% Confidential Confidential NY, USA Incorporated India Foundation, Adjunct Professor - Columbia University Graduate School of Business, President - U.S. Issuers, North America - Mastercard Incorporated

Director, Executive Chairman - Tech Data Corporation, Director - Pitney Bowes, Robert M. Dutkowsky, Technology - Tech Data Member of Advisory Board - University Director N/A .0018% Confidential Confidential Tampa, FL, USA Corporation of South Florida Business School, Director - Moffiitt Research Committee, Director - United Way Suncoast, Director - U.S. Foods Holding Corp.

Technology - Retired Roderick C. McGeary, Director - Cisco Systems, Inc., Chairman and Director N/A .0061% Confidential Confidential Carmel, CA, USA Director - PACCAR Inc. Executive Director (Raymond James & Associates, Inc.), Director, Chairman and President (Raymond James Financial Services, Inc.), Director - Financial Services Institute Scott A. Curtis, Tampa, FL, Manager (The Producers Choice LLC), N/A N/A (FSI), .0941% Confidential Confidential USA Director and President (Raymond James Director - United Way Suncoast Financial Services Advisors, Inc.), Director (Raymond James Bank, NA), Director (Raymond James Ltd.), Director (Raymond James Insurance Group, Inc.)

Director - Board of Advisors - H. Lee Shelley G. Broader, Fort Retail - Former CEO - Director N/A Moffitt Cancer Center & Research .0174% Confidential Confidential Myers, FL, USA Chico's FAS, Inc. Institute Manager (Raymond James Canadian Holdings, LLC), Director and Chairman (Raymond James Trust, NA), Director (Raymond James Finance Steven M. Raney, Tampa, Company of Canada Ltd.), Director - Starting Right Now, N/A N/A .0445% Confidential Confidential FL, USA Director (Raymond James Capital Director - Tampa Bay History Center Funding, Inc.), Director (Raymond James Canadian Acquisition, Inc.), Director, President and CEO (Raymond James Bank, NA)

Director, President and CEO - American Water Works Company, Inc., Director - Dominion Energy, Inc., Utilities - American Susan N. Story, Gulf Breeze, Director - United Way of Greater Water Works Director N/A .0195% Confidential Confidential FL, USA Philadelphia and Southern New Jersey, Company, Inc. Director - Board of Advisors - H. Lee Moffitt Cancer Center & Research Institute

Director - St. Petersburg Chamber of Director (Raymond James Investment Commerce, Tashtego S. Elwyn, St. Services Limited), Director - Pinellas Education N/A N/A .0429% Confidential Confidential Petersburg, FL, USA Director, President and CEO (Raymond Foundation, James & Associates, Inc.) Director - Invest in Others Charitable Foundation The Vanguard Group, Inc., N/A N/A N/A N/A 10% Confidential Confidential Malvern, PA, USA Director, Vice President (RJ Partners, Chairman - The James Museum of Inc.), Western and Wildlife Art, Thomas A. James, St. Director, Chairman Director, Chairman (Raymond James Chairman - Chi Chi Rodriguez Youth N/A 10% Confidential Confidential Petersburg, FL, USA Emeritus Capital, Inc.), Foundation, Director, Chairman (Eagle Asset Member of Board of Trustees - The Management, Inc.) Salvador Dali Museum