SEC Form 4 · accession 0000720672-17-000024
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M Minnick
Officer — General Counsel & Senior VP
Period of report
Jan 6, 2017
Accepted (ET)
Jan 6, 2017 · 3:56 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 | Jan 6, 2017 | G | 13 | $0.00 | D | 104 | D | |
| Common Stock | Jan 6, 2017 | G | 104 | $0.00 | D | 0 | D | |
| Common StockF1 | Jan 6, 2017 | M | 47 | — | A | 47 | D | |
| Common StockF1 | Jan 6, 2017 | M | 7,061 | — | A | 7,108 | D | |
| Common StockF1 | Jan 6, 2017 | D | 47 | — | D | 7,061 | D | |
| Common StockF1 | Jan 6, 2017 | D | 7,061 | — | D | 0 | 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,F2,F3 | $0.00 | Jan 6, 2017 | M | 47 | D | — | — | Common Stock | 47 | 7,061 | D |
| Phantom Stock UnitsF1,F2,F3 | $0.00 | Jan 6, 2017 | M | 7,061 | D | — | — | Common Stock | 7,061 | 0 | D |
Explanation of responses
- F1On January 6, 2017, the reporting person's phantom stock units were cancelled. The reporting person no longer owns any stock or phantom stock units.
- F2Units vest 100% three years from the grant date.
- F3No expiration date for these Units.