SEC Form 4 · accession 0000720672-15-000081
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas B. Michaud
Director
Period of report
Nov 20, 2015
Accepted (ET)
Nov 23, 2015 · 2:21 pm EST
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 | Nov 20, 2015 | D | 1,964 | $44.41 | D | 121,486 | 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 | holding | — | — | — | — | — | Common Stock | 21,912 | 21,912 | D |
Explanation of responses
- F1Constitutes a portion of shares which vested on November 12, 2015 that were withheld from reporting person on November 20, 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.