SEC Form 4 · accession 0000720672-15-000063
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick O Hanser
Director
Period of report
Jun 10, 2015
Accepted (ET)
Jun 12, 2015 · 4:50 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 | — | — | — | 40,190 | 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 | Jun 10, 2015 | A | 3,750 | A | — | — | Common Stock | 3,750 | 21,757 | D |
| Stock Option (Option to Buy)F3 | $17.00 | holding | — | — | — | — | Jan 3, 2016 | Common Stock | 2,250 | 2,250 | D |
Explanation of responses
- F1Units vest quarterly over a one year period.
- F2No expiration date for these Units.
- F3Options vest in 20% increments on 1/3/07, 1/3/08, 1/3/09, 1/3/10 and 1/3/11.