SEC Form 4 · accession 0000720672-15-000022
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M Minnick
Officer — General Counsel & Senior VP
Period of report
Jan 22, 2015
Accepted (ET)
Jan 26, 2015 · 2:33 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000720672
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 22, 2015 | M | 2,187 | $0.00 | A | 15,471 | D | |
| Common Stock | Jan 22, 2015 | F | 845 | $46.74 | D | 14,626 | D | |
| Common Stock | Jan 26, 2015 | G | 200 | $0.00 | D | 14,426 | D | |
| Common Stock | Jan 26, 2015 | G | 20 | $0.00 | D | 14,406 | D | |
| Common Stock | Jan 26, 2015 | G | 30 | $0.00 | D | 14,376 | D | |
| Common Stock | Jan 26, 2015 | G | 250 | $0.00 | D | 14,126 | D | |
| Common Stock | Jan 26, 2015 | G | 250 | $0.00 | D | 13,876 | D | |
| Common Stock | Jan 26, 2015 | G | 250 | $0.00 | D | 13,626 | D | |
| Common Stock | Jan 26, 2015 | G | 250 | $0.00 | D | 13,376 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF1,F2 | $0.00 | Jan 22, 2015 | M | 2,187 | D | Feb 17, 2009 | — | Common Stock | 2,187 | 12,502 | D |
Explanation of responses
- F1Units vest 100% three years from the grant date.
- F2No expiration date for these Units.