SEC Form 4 · accession 0000720672-16-000125
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark P Fisher
Officer — SENIOR VP & GENERAL COUNSEL
Period of report
Jun 5, 2015
Accepted (ET)
Feb 29, 2016 · 5:15 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 | — | — | — | 23,123 | 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 | Jun 5, 2015 | A | 8,767 | A | — | — | Common Stock | 8,767 | 23,424 | D |
| Phantom Stock UnitsF3,F2 | $0.00 | Feb 25, 2016 | A | 24,317 | A | — | — | Common Stock | 24,317 | 44,391 | D |
| Phantom Stock UnitsF3,F2 | $0.00 | Feb 25, 2016 | A | 5,611 | A | — | — | Common Stock | 5,611 | 50,002 | D |
Explanation of responses
- F1Units vest in 20% increments over a five year period.
- F2No expiration date for these Units.
- F3Units vest in equal yearly increments over a ten year period.