SEC Form 4 · accession 0000720672-17-000041
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Himelfarb
Officer — Director · Director
Period of report
Mar 2, 2017
Accepted (ET)
Mar 6, 2017 · 4:40 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 | holding | — | — | — | 134,166 | 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 | $0.00 | Mar 2, 2017 | A | 277 | A | — | — | Common Stock | 277 | 19,619 | D |
| Phantom Stock UnitsF3,F2 | $0.00 | Mar 2, 2017 | A | 69 | A | — | — | Common Stock | 69 | 19,688 | D |
Explanation of responses
- F1Fully vested.
- F2No expiration date for these Units.
- F3Units vest 100% after five years.