SEC Form 4 · accession 0000720672-17-000101
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David D Sliney
Officer — Dir Strategic Planning & Tech
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 | 89,423 | D | |
| Common Stock | Dec 27, 2017 | F | 1,092 | $60.13 | D | 88,331 | D | |
| Common StockF2 | Dec 27, 2017 | M | 2,277 | $0.00 | A | 90,608 | D | |
| Common Stock | Dec 27, 2017 | F | 1,092 | $60.13 | D | 89,516 | D | |
| Common StockF3 | Dec 27, 2017 | M | 2,277 | $0.00 | A | 91,793 | D | |
| Common Stock | Dec 27, 2017 | F | 1,092 | $60.13 | D | 90,701 | D | |
| Common StockF4 | Dec 27, 2017 | M | 2,053 | $0.00 | A | 92,754 | D | |
| Common Stock | Dec 27, 2017 | F | 984 | $60.13 | D | 91,770 | D | |
| Common StockF2 | Dec 27, 2017 | M | 2,053 | $0.00 | A | 93,823 | D | |
| Common Stock | Dec 27, 2017 | F | 984 | $60.13 | D | 92,839 | D | |
| Common StockF3 | Dec 27, 2017 | M | 2,053 | $0.00 | A | 94,892 | D | |
| Common Stock | Dec 27, 2017 | F | 984 | $60.13 | D | 93,908 | D | |
| Common StockF5 | Dec 27, 2017 | M | 717 | $0.00 | A | 94,625 | D | |
| Common Stock | Dec 27, 2017 | F | 344 | $60.13 | D | 94,281 | D | |
| Common StockF4 | Dec 27, 2017 | M | 717 | $0.00 | A | 94,998 | D | |
| Common Stock | Dec 27, 2017 | F | 344 | $60.13 | D | 94,654 | D | |
| Common StockF2 | Dec 27, 2017 | M | 717 | $0.00 | A | 95,371 | D | |
| Common Stock | Dec 27, 2017 | F | 344 | $60.13 | D | 95,027 | D | |
| Common StockF6 | Dec 27, 2017 | M | 1,836 | $0.00 | A | 96,863 | D | |
| Common Stock | Dec 27, 2017 | F | 880 | $60.13 | D | 95,983 | D | |
| Common StockF7 | Dec 27, 2017 | M | 1,529 | $0.00 | A | 97,512 | D | |
| Common Stock | Dec 27, 2017 | F | 733 | $60.13 | D | 96,779 | D | |
| Common StockF7 | Dec 27, 2017 | M | 1,906 | $0.00 | A | 98,685 | D | |
| Common Stock | Dec 27, 2017 | F | 916 | $60.13 | D | 97,769 | D | |
| Common StockF8 | Dec 27, 2017 | M | 2,248 | $0.00 | A | 100,017 | D | |
| Common Stock | Dec 27, 2017 | F | 1,077 | $60.13 | D | 98,940 | D | |
| Common StockF7 | Dec 27, 2017 | M | 7,307 | $0.00 | A | 106,247 | D | |
| Common Stock | Dec 27, 2017 | F | 3,504 | $60.13 | D | 102,743 | D | |
| Common StockF7 | Dec 27, 2017 | M | 1,802 | $0.00 | A | 104,545 | D | |
| Common Stock | Dec 27, 2017 | F | 864 | $60.13 | D | 103,681 | 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 UnitsF9,F10 | $0.00 | Dec 27, 2017 | M | 2,277 | D | — | — | Common Stock | 2,277 | 55,282 | D |
| Phantom Stock UnitsF11,F10 | $0.00 | Dec 27, 2017 | M | 2,277 | D | — | — | Common Stock | 2,277 | 53,005 | D |
| Phantom Stock UnitsF12,F10 | $0.00 | Dec 27, 2017 | M | 2,277 | D | — | — | Common Stock | 2,277 | 50,728 | D |
| Phantom Stock UnitsF13,F10 | $0.00 | Dec 27, 2017 | M | 2,053 | D | — | — | Common Stock | 2,053 | 48,675 | D |
| Phantom Stock UnitsF11,F10 | $0.00 | Dec 27, 2017 | M | 2,053 | D | — | — | Common Stock | 2,053 | 46,622 | D |
| Phantom Stock UnitsF12,F10 | $0.00 | Dec 27, 2017 | M | 2,053 | D | — | — | Common Stock | 2,053 | 44,569 | D |
| Phantom Stock UnitsF14,F10 | $0.00 | Dec 27, 2017 | M | 717 | D | — | — | Common Stock | 717 | 43,852 | D |
| Phantom Stock UnitsF13,F10 | $0.00 | Dec 27, 2017 | M | 717 | D | — | — | Common Stock | 717 | 43,135 | D |
| Phantom Stock UnitsF11,F10 | $0.00 | Dec 27, 2017 | M | 717 | D | — | — | Common Stock | 717 | 42,418 | D |
| Phantom Stock UnitsF15,F10 | $0.00 | Dec 27, 2017 | M | 1,836 | D | — | — | Common Stock | 1,836 | 40,582 | D |
| Phantom Stock UnitsF16,F10 | $0.00 | Dec 27, 2017 | M | 1,529 | D | — | — | Common Stock | 1,529 | 39,053 | D |
| Phantom Stock UnitsF16,F10 | $0.00 | Dec 27, 2017 | M | 1,906 | D | — | — | Common Stock | 1,906 | 37,147 | D |
| Phantom Stock UnitsF17,F10 | $0.00 | Dec 27, 2017 | M | 2,248 | D | — | — | Common Stock | 2,248 | 34,899 | D |
| Phantom Stock UnitsF16,F10 | $0.00 | Dec 27, 2017 | M | 7,307 | D | — | — | Common Stock | 7,307 | 27,592 | D |
| Phantom Stock UnitsF16,F10 | $0.00 | Dec 27, 2017 | M | 1,802 | D | — | — | Common Stock | 1,802 | 25,790 | 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.
- F10No expiration date for these Units.
- F11Currently convertible. Units vest 100% eight years from the original grant date.
- F12Currently convertible. Units vest 100% nine years from the original grant date.
- F13Currently convertible. Units vest 100% seven years from the original grant date.
- F14Currently convertible. Units vest 100% six years from the original grant date.
- F15Currenlty convertible. Units vest 100% five years from the original grant date.
- F16Currently convertible. Units vest in 20% increments over a five year period from original grant date.
- F17Currently convertible. Units vest in 10% increments over ten years from the 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 100% six years from the original grant date of the phantom stock unit.
- F6Shares represent a grant of restricted stock which vest 100% five years from the original grant date of the phantom stock unit.
- F7Shares 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.
- F8Shares represent a grant of restricted stock which vest in 10% increments over a 10 year period from original grant date of the phantom stock unit.
- F9Currently convertible. Units vest 100% ten years from the original grant date.