SEC Form 4 · accession 0000720672-16-000192
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald J Kruszewski
Officer — CHIEF EXECUTIVE OFFICER · Director
Period of report
Dec 22, 2016
Accepted (ET)
Dec 27, 2016 · 4:32 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 | Dec 22, 2016 | S | 30,000 | $51.39 | D | 878,862 | D | |
| Common StockF1 | Dec 23, 2016 | S | 30,522 | $51.4282 | D | 848,340 | D | |
| Common Stock | holding | — | — | — | 1,500 | I | by Daughter | |
| Common Stock | holding | — | — | — | 3,000 | I | by Son |
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 | 359,197 | 359,197 | D |
Explanation of responses
- F1Shares are being sold to rebalance portfolio.
- F2Units vest in 20% increments over a five year period.
- F3No expiration date for these Units.