SEC Form 5 · accession 0000720672-15-000023
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
Dec 31, 2014
Accepted (ET)
Feb 10, 2015 · 2:21 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 3, 2014 | G | 300 | $0.00 | D | 10,517 | D | |
| Common Stock | Jan 3, 2014 | G | 300 | $0.00 | D | 10,217 | D | |
| Common Stock | Jan 3, 2014 | G | 300 | $0.00 | D | 9,917 | D | |
| Common Stock | Jan 3, 2014 | G | 300 | $0.00 | D | 9,617 | 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 | holding | — | — | — | — | — | Common Stock | 14,689 | 14,689 | D |
Explanation of responses
- F1Units vest in 20% increments over a five year period.
- F2No expiration date for these Units.