SEC Form 4 · accession 0000720672-15-000037
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Himelfarb
Officer — Director · Director
Period of report
Mar 13, 2015
Accepted (ET)
Mar 17, 2015 · 5:18 pm EDT
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 | holding | — | — | — | 223,631 | 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 | Mar 13, 2015 | A | 3,091 | A | — | — | Common Stock | 3,091 | 15,425 | D |
| Phantom Stock UnitsF3,F2 | $0.00 | Mar 13, 2015 | A | 989 | A | — | — | Common Stock | 989 | 16,414 | D |
| Phantom Stock UnitsF4,F2 | $0.00 | Mar 13, 2015 | A | 247 | A | — | — | Common Stock | 247 | 16,661 | D |
| Phantom Stock UnitsF1,F2 | $0.00 | Mar 13, 2015 | A | 67 | A | — | — | Common Stock | 67 | 16,728 | D |
Explanation of responses
- F1Units vest in 20% increments over a five year period.
- F2No expiration date for these Units.
- F3Fully vested.
- F4Units vest 100% after five years.