SEC Form 4/A · accession 0000720672-16-000167
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
Nov 22, 2013
Accepted (ET)
Nov 15, 2016 · 6:20 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 StockF1 | Nov 22, 2013 | S | 93,014 | $45.6319 | D | 160,795 | D | |
| Common StockF1,F2 | Nov 22, 2013 | S | 6,686 | $45.6319 | D | 0 | I | by Corporation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $45.19 to $46.19. 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.
- F2The original reporting of this sale incorrectly reported the shares were all owned direct. Of the 99,700 shares sold, 6,686 were owned by Corporation and 93,014 were owned direct.