SEC Form 4 · accession 0000720672-16-000150
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles A Dill
Director
Period of report
Jun 16, 2016
Accepted (ET)
Jun 17, 2016 · 3:51 pm EDT
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 | Jun 16, 2016 | M | 4,853 | $0.00 | A | 60,298 | D | |
| Common Stock | Jun 16, 2016 | M | 13,522 | $0.00 | A | 73,820 | 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 16, 2016 | M | 4,853 | D | Apr 1, 2004 | — | Common Stock | 4,853 | 13,522 | D |
| Phantom Stock UnitsF3,F2 | $0.00 | Jun 16, 2016 | M | 13,522 | D | Apr 1, 2004 | — | Common Stock | 13,522 | 0 | D |
Explanation of responses
- F1Currently exercisable.
- F2No expiration date for these Units.
- F3Units vest quarterly over a one year period.