SEC Form 4 · accession 0000720672-16-000183
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Oates
Director
Period of report
Nov 22, 2016
Accepted (ET)
Nov 23, 2016 · 2:09 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 | Nov 22, 2016 | S | 5,000 | $50.20 | D | 33,004 | D | |
| Common Stock | holding | — | — | — | 573 | I | by Spouse |
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 | holding | — | — | — | — | — | Common Stock | 32,965 | 32,965 | D |
Explanation of responses
- F1Units vest quarterly over a one year period.
- F2No expiration date for these Units.