SEC Form 4 · accession 0000720672-15-000082
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick O Hanser
Director
Period of report
Nov 19, 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 19, 2015 | M | 2,250 | $17.00 | A | 42,440 | D | |
| Common Stock | Nov 19, 2015 | F | 840 | $45.51 | D | 41,600 | D | |
| Common Stock | Nov 19, 2015 | S | 1,410 | $45.51 | D | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Option to Buy)F1 | $17.00 | Nov 19, 2015 | M | 2,250 | D | — | Jan 3, 2016 | Common Stock | 2,250 | 0 | D |
| Phantom Stock UnitsF2,F3 | $0.00 | holding | — | — | — | Apr 1, 2004 | — | Common Stock | 21,757 | 21,757 | D |
Explanation of responses
- F1Options vest in 20% increments on 1/3/07, 1/3/08, 1/3/09, 1/3/10 and 1/3/11.
- F2Units vest quarterly over a one year period.
- F3No expiration date for these Units.