SEC Form 4 · accession 0000720672-17-000100
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas W Weisel
Director
Period of report
Dec 27, 2017
Accepted (ET)
Dec 29, 2017 · 4:31 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 | 2,277 | $0.00 | A | 61,065 | D | |
| Common Stock | Dec 27, 2017 | F | 1,288 | $60.13 | D | 59,777 | D | |
| Common StockF2 | Dec 27, 2017 | M | 2,277 | $0.00 | A | 62,054 | D | |
| Common Stock | Dec 27, 2017 | F | 1,288 | $60.13 | D | 60,766 | D | |
| Common StockF3 | Dec 27, 2017 | M | 2,277 | $0.00 | A | 63,043 | D | |
| Common Stock | Dec 27, 2017 | F | 1,288 | $60.13 | D | 61,755 | D | |
| Common StockF4 | Dec 27, 2017 | M | 1,368 | $0.00 | A | 63,123 | D | |
| Common Stock | Dec 27, 2017 | F | 774 | $60.13 | D | 62,349 | D | |
| Common StockF2 | Dec 27, 2017 | M | 1,368 | $0.00 | A | 63,717 | D | |
| Common Stock | Dec 27, 2017 | F | 774 | $60.13 | D | 62,943 | D | |
| Common StockF3 | Dec 27, 2017 | M | 1,368 | $0.00 | A | 64,311 | D | |
| Common Stock | Dec 27, 2017 | F | 774 | $60.13 | D | 63,537 | D | |
| Common StockF5 | Dec 27, 2017 | M | 11,242 | $0.00 | A | 74,779 | D | |
| Common Stock | Dec 27, 2017 | F | 6,362 | $60.13 | D | 68,417 | 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 UnitsF6,F7 | $0.00 | Dec 27, 2017 | M | 2,277 | D | — | — | Common Stock | 2,277 | 37,062 | D |
| Phantom Stock UnitsF8,F7 | $0.00 | Dec 27, 2017 | M | 2,277 | D | — | — | Common Stock | 2,277 | 34,785 | D |
| Phantom Stock UnitsF9,F7 | $0.00 | Dec 27, 2017 | M | 2,277 | D | — | — | Common Stock | 2,277 | 32,508 | D |
| Phantom Stock UnitsF10,F7 | $0.00 | Dec 27, 2017 | M | 1,368 | D | — | — | Common Stock | 1,368 | 31,140 | D |
| Phantom Stock UnitsF8,F7 | $0.00 | Dec 27, 2017 | M | 1,368 | D | — | — | Common Stock | 1,368 | 29,772 | D |
| Phantom Stock UnitsF9,F7 | $0.00 | Dec 27, 2017 | M | 1,368 | D | — | — | Common Stock | 1,368 | 28,404 | D |
| Phantom Stock UnitsF11,F7 | $0.00 | Dec 27, 2017 | M | 11,242 | D | — | — | Common Stock | 11,242 | 17,162 | D |
Explanation of responses
- F1Shares represent a grant of restricted stock which vest 100% ten years from the original grant date of the phantom stock unit.
- F10Currently convertible. Units vest 100% seven years from the original grant date.
- F11Currently convertible. Units vest in 20% increments over a five year period from original grant date.
- F2Shares represent a grant of restricted stock which vest 100% eight years from the original grant date of the phantom stock unit.
- F3Shares represent a grant of restricted stock which vest 100% nine years from the original grant date of the phantom stock unit.
- F4Shares represent a grant of restricted stock which vest 100% seven years from the original grant date of the phantom stock unit.
- F5Shares 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.
- F6Currently convertible. Units vest 100% ten years from the original grant date.
- F7No expiration date for these Units.
- F8Currently convertible. Units vest 100% eight years from the original grant date.
- F9Currently convertible. Units vest 100% nine years from the original grant date.