SEC Form 4 · accession 0000720672-16-000127
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
Thomas B. Michaud
Director
Period of report
Feb 25, 2016
Accepted (ET)
Feb 29, 2016 · 5:16 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 | Feb 25, 2016 | D | 21,711 | $31.18 | D | 102,517 | 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 UnitsF2,F3 | $0.00 | Feb 25, 2016 | A | 20,576 | A | — | — | Common Stock | 20,576 | 38,793 | D |
| Phantom Stock UnitsF2,F3 | $0.00 | Feb 25, 2016 | A | 31,425 | A | — | — | Common Stock | 31,425 | 70,218 | D |
Explanation of responses
- F1Constitutes a portion of shares which vested on February 25, 2016 that were withheld from reporting person on February 25, 2016 in order to comply with applicable tax regulations. Total value of shares withheld equals estimated taxes due as a reult of all vesting events.
- F2Units vest in equal yearly increments over a ten year period.
- F3No expiration date for these Units.