SEC Form 4/A · accession 0000720672-16-000132
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Thomas P Mulroy
Officer — Director · Director
Period of report
Feb 25, 2016
Accepted (ET)
Mar 2, 2016 · 4:52 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000720672
Table I — non-derivative securities
No Table I lines on this filing.
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 | 32,921 | A | — | — | Common Stock | 32,921 | 188,236 | D |
Explanation of responses
- F1Units vest in 20% increments over a five year period.
- F2No expiration date for these Units.