SEC Form 4 · accession 0000720672-17-000098
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allen Brautigam
Other
Period of report
Dec 27, 2017
Accepted (ET)
Dec 29, 2017 · 4:30 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 StockF1 | Dec 27, 2017 | M | 309 | $0.00 | A | 25,001 | D | |
| Common Stock | Dec 27, 2017 | F | 148 | $60.13 | D | 24,853 | D | |
| Common StockF1 | Dec 27, 2017 | M | 309 | $0.00 | A | 25,162 | D | |
| Common Stock | Dec 27, 2017 | F | 148 | $60.13 | D | 25,014 | D | |
| Common StockF1 | Dec 27, 2017 | M | 309 | $0.00 | A | 25,323 | D | |
| Common Stock | Dec 27, 2017 | F | 148 | $60.13 | D | 25,175 | 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 UnitsF2,F3 | $0.00 | Dec 27, 2017 | M | 1,708 | D | — | — | Common Stock | 1,708 | 31,434 | D |
| Phantom Stock UnitsF4,F3 | $0.00 | Dec 27, 2017 | M | 1,708 | D | — | — | Common Stock | 1,708 | 29,726 | D |
| Phantom Stock UnitsF5,F3 | $0.00 | Dec 27, 2017 | M | 1,708 | D | — | — | Common Stock | 1,708 | 28,018 | D |
| Phantom Stock UnitsF6,F3 | $0.00 | Dec 27, 2017 | M | 684 | D | — | — | Common Stock | 684 | 27,334 | D |
| Phantom Stock UnitsF2,F3 | $0.00 | Dec 27, 2017 | M | 684 | D | — | — | Common Stock | 684 | 26,650 | D |
| Phantom Stock UnitsF4,F3 | $0.00 | Dec 27, 2017 | M | 684 | D | — | — | Common Stock | 684 | 25,966 | D |
| Phantom Stock UnitsF7,F3 | $0.00 | Dec 27, 2017 | M | 1,122 | D | — | — | Common Stock | 1,122 | 24,844 | D |
| Phantom Stock UnitsF8,F3 | $0.00 | Dec 27, 2017 | M | 1,335 | D | — | — | Common Stock | 1,335 | 23,509 | D |
| Phantom Stock UnitsF7,F3 | $0.00 | Dec 27, 2017 | M | 674 | D | — | — | Common Stock | 674 | 22,835 | D |
| Phantom Stock UnitsF9,F3 | $0.00 | Dec 27, 2017 | M | 749 | D | — | — | Common Stock | 749 | 22,086 | D |
| Phantom Stock UnitsF7,F3 | $0.00 | Dec 27, 2017 | M | 1,499 | D | — | — | Common Stock | 1,499 | 20,587 | D |
| Phantom Stock UnitsF9,F3 | $0.00 | Dec 27, 2017 | M | 749 | D | — | — | Common Stock | 749 | 19,838 | D |
| Phantom Stock UnitsF7,F3 | $0.00 | Dec 27, 2017 | M | 1,499 | D | — | — | Common Stock | 1,499 | 18,339 | D |
| Phantom Stock UnitsF9,F3 | $0.00 | Dec 27, 2017 | M | 749 | D | — | — | Common Stock | 749 | 17,590 | D |
| Phantom Stock UnitsF7,F3 | $0.00 | Dec 27, 2017 | M | 1,499 | D | — | — | Common Stock | 1,499 | 16,091 | D |
| Phantom Stock UnitsF7,F3 | $0.00 | Dec 27, 2017 | M | 309 | D | — | — | Common Stock | 309 | 15,782 | D |
| Phantom Stock UnitsF7,F3 | $0.00 | Dec 27, 2017 | M | 309 | D | — | — | Common Stock | 309 | 15,473 | D |
| Phantom Stock UnitsF7,F3 | $0.00 | Dec 27, 2017 | M | 309 | D | — | — | Common Stock | 309 | 15,164 | D |
Explanation of responses
- F1Shares represent a grant of restricted stock which vest in 20% increments over a 5 year period from original grant date of the phantom stock unit.
- F2Currently convertible. Units vest 100% eight years from the original grant date.
- F3No expiration date for these Units.
- F4Currently convertible. Units vest 100% nine years from the original grant date.
- F5Currently convertible. Units vest 100% ten years from the original grant date.
- F6Currently convertible. Units vest 100% seven years from the original grant date.
- F7Currently convertible. Units vest in 20% increments over a five year period from original grant date.
- F8Currenlty convertible. Units vest 100% five years from the original grant date.
- F9Currently convertible. Units vest in 10% increments over ten years from the original grant date.