SEC Form 4 · accession 0000720672-16-000186
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas W Weisel
Director
Period of report
Nov 29, 2016
Accepted (ET)
Dec 1, 2016 · 5:13 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 29, 2016 | S | 30,000 | $49.32 | D | 70,529 | D | |
| Common Stock | Dec 1, 2016 | G | 2,600 | $49.85 | D | 67,929 | 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 UnitsF2,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 57,861 | 57,861 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $49.12 to $49.56. 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.
- F2Units vest in 20% increments over a five year period.
- F3No expiration date for these Units.