SEC Form 4 · accession 0000720672-16-000121
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Allen Brautigam
Other
Period of report
Feb 25, 2016
Accepted (ET)
Feb 29, 2016 · 5:14 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 | holding | — | — | — | 37,993 | 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 | Feb 25, 2016 | A | 7,482 | A | — | — | Common Stock | 7,482 | 37,095 | D |
| Phantom Stock UnitsF1,F2 | $0.00 | Feb 25, 2016 | A | 7,482 | A | — | — | Common Stock | 7,482 | 44,577 | D |
Explanation of responses
- F1Units vest in equal yearly increments over a ten year period.
- F2No expiration date for these Units.