SEC Form 4 · accession 0000720672-15-000038
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Thomas B. Michaud
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 | Mar 17, 2015 | D | 4,555 | $52.09 | D | 123,450 | 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 UnitsF2,F3 | $0.00 | Mar 13, 2015 | A | 6,304 | A | — | — | Common Stock | 6,304 | 18,752 | D |
| Phantom Stock UnitsF4,F3 | $0.00 | Mar 13, 2015 | A | 2,521 | A | — | — | Common Stock | 2,521 | 21,273 | D |
| Phantom Stock UnitsF5,F3 | $0.00 | Mar 13, 2015 | A | 630 | A | — | — | Common Stock | 630 | 21,903 | D |
| Phantom Stock UnitsF2,F3 | $0.00 | Mar 13, 2015 | A | 9 | A | — | — | Common Stock | 9 | 21,912 | D |
Explanation of responses
- F1Constitutes a portion of shares which vested on February 27, 2015 that were withheld from reporting person on March 17, 2015 in order to comply with applicable tax regulations. Total value of shares withheld equals estimated taxes due as a reult of all vesting events.
- F2Units vest in 20% increments over a five year period.
- F3No expiration date for these Units.
- F4Fully vested.
- F5Units vest 100% after five years.