SEC Form 4 · accession 0000720672-17-000001
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Victor Nesi
Officer — Director · Director
Period of report
Dec 30, 2016
Accepted (ET)
Jan 4, 2017 · 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 | Dec 30, 2016 | M | 43,826 | — | A | 183,199 | D | |
| Common Stock | Dec 30, 2016 | D | 43,826 | $49.95 | D | 139,373 | D | |
| Common Stock | holding | — | — | — | 4,088 | I | by Trust |
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 | Dec 30, 2016 | M | 43,826 | D | Dec 30, 2016 | — | Common Stock | 43,826 | 150,900 | D |
Explanation of responses
- F1Each phantom stock unit was the economic equivalent of one share of Stifel Financial Corp. common stock. On December 30, 2016, 43,826 of the reporting person's phantom stock units were settled for cash.
- F2No expiration date for these Units.