SEC Form 4 · accession 0000720672-15-000043
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Zemlyak
Officer — CHIEF FIN'L & ADMIN OFFCR · Director
Period of report
Mar 13, 2015
Accepted (ET)
Mar 17, 2015 · 5:19 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 | — | — | — | 705,259 | D | ||
| Common Stock | holding | — | — | — | 3,310 | I | by Son |
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 | 8,486 | A | — | — | Common Stock | 8,486 | 167,725 | D |
| Phantom Stock UnitsF3,F2 | $0.00 | Mar 13, 2015 | A | 2,715 | A | — | — | Common Stock | 2,715 | 170,440 | D |
| Phantom Stock UnitsF4,F2 | $0.00 | Mar 13, 2015 | A | 678 | A | — | — | Common Stock | 678 | 171,118 | D |
| Phantom Stock UnitsF1,F2 | $0.00 | Mar 13, 2015 | A | 2,230 | A | — | — | Common Stock | 2,230 | 173,348 | 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.