SEC Form 4 · accession 0000720672-17-000069
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael W Brown
Director
Period of report
Jun 7, 2017
Accepted (ET)
Jun 9, 2017 · 3:40 pm EDT
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 | — | — | — | 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,F2 | $0.00 | Jun 7, 2017 | A | 1,900 | A | — | — | Common Stock | 1,900 | 20,651 | D |
| Stock Option (Option to Buy)F3 | $29.33 | holding | — | — | — | — | May 19, 2018 | Common Stock | 5,115 | 5,115 | D |
| Stock Option (Option to Buy)F3 | $88.42 | holding | — | — | — | — | May 23, 2017 | Common Stock | 2,381 | 2,381 | D |
Explanation of responses
- F1Units vest quarterly over a one year period.
- F2No expiration date for these Units.
- F3Currently exercisable.