SEC Form 4 · accession 0000720672-16-000128
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
James M Marischen
Officer — SENIOR VP & CHIEF RISK OFFICER
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 | holding | — | — | — | 5,577 | 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 | 28,058 | A | — | — | Common Stock | 28,058 | 35,416 | D |
| Phantom Stock UnitsF1,F2 | $0.00 | Feb 25, 2016 | A | 1,870 | A | — | — | Common Stock | 1,870 | 37,286 | D |
Explanation of responses
- F1Units vest in equal yearly increments over a ten year period.
- F2No expiration date for these Units.