SEC Form 4 · accession 0000720672-17-000014
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael W Brown
Director
Period of report
Dec 30, 2016
Accepted (ET)
Jan 4, 2017 · 5:19 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 | 3,375 | $0.00 | A | 9,820 | 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 UnitsF1 | $0.00 | Dec 30, 2016 | M | 3,375 | D | Dec 30, 2016 | — | Common Stock | 3,375 | 18,751 | D |
| Stock Option (Option to Buy)F2 | $29.33 | holding | — | — | — | — | May 19, 2018 | Common Stock | 5,115 | 5,115 | D |
| Stock Option (Option to Buy)F2 | $88.42 | holding | — | — | — | — | May 23, 2017 | Common Stock | 2,381 | 2,381 | D |
Explanation of responses
- F1No expiration date for these Units.
- F2Currently exercisable.