SEC Form 4 · accession 0000720672-17-000012
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Oates
Director
Period of report
Dec 30, 2016
Accepted (ET)
Jan 4, 2017 · 5:18 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 | Dec 30, 2016 | M | 3,768 | $0.00 | A | 29,772 | D | |
| Common Stock | Dec 30, 2016 | G | 573 | $0.00 | A | 30,345 | D | |
| Common Stock | Dec 30, 2016 | G | 573 | $0.00 | D | 0 | 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 | $0.00 | Dec 30, 2016 | M | 3,768 | D | Dec 30, 2016 | — | Common Stock | 3,768 | 29,197 | D |
Explanation of responses
- F1No expiration date for these Units.