SEC Form 4/A · accession 0000720672-15-000048
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Michael J Zimmerman
Director
Period of report
Jan 24, 2014
Accepted (ET)
Mar 26, 2015 · 4:27 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 | Jan 24, 2014 | M | 0 | $0.00 | A | 2,856 | D | |
| Common Stock | Jan 24, 2014 | F | 0 | $49.82 | D | 2,856 | 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 24, 2014 | M | 0 | D | — | — | Common Stock | 0 | 3,750 | D |
Explanation of responses
- F1Units vest quarterly over a one year period.
- F2No expiration date for these Units.