SEC Form 4/A · accession 0000720672-16-000166
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 W Weisel
Director
Period of report
Aug 13, 2013
Accepted (ET)
Nov 15, 2016 · 6:19 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 StockF2,F3 | Aug 13, 2013 | S | 150,000 | $40.1397 | D | 6,686 | I | by Corporation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were sold pursuant to a 10(b)5-1 Plan.
- F2This transaction was executed in multiple trades at prices ranging from $39.78 to $40.31. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3The original reporting of this sale incorrrectly reported the shares were owned direct. The 150,000 shares that were sold on 8/13/2013 were actually owned by Corporation.