SEC Form 4/A · accession 0000720672-16-000087
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
Robert E Lefton
Director
Period of report
Dec 31, 2015
Accepted (ET)
Jan 6, 2016 · 2:38 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 | Dec 31, 2015 | M | 0 | $0.00 | A | 24,620 | D | |
| Common Stock | Dec 31, 2015 | F | 0 | $0.00 | D | 24,620 | 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)F2 | $17.00 | Dec 31, 2015 | M | 0 | D | — | Jan 3, 2016 | Common Stock | 0 | 2,250 | D |
Explanation of responses
- F1The Form 4 filed on January 5, 2016 reporting Dr. Lefton's option exercise was filed in error. Robert Lefton is no longer a Stifel Financial Corp. Insider.
- F2Options vest in 20% increments on 1/3/07, 1/3/08, 1/3/09, 1/3/10 and 1/3/11.