SEC Form 4 · accession 0000720672-16-000099
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ben A Plotkin
Officer — Vice Chairman · Director
Period of report
Jan 22, 2016
Accepted (ET)
Jan 26, 2016 · 3:39 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 | Jan 22, 2016 | M | 21,186 | $0.00 | A | 159,495 | D | |
| Common Stock | Jan 22, 2016 | F | 5,916 | $35.86 | D | 153,579 | 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 22, 2016 | M | 21,186 | D | — | — | Common Stock | 21,186 | 31,318 | D |
Explanation of responses
- F1Fully vested.
- F2No expiration date for these Units.