SEC Form 4 · accession 0000720672-17-000102
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas B. Michaud
Officer — Senior Vice President
Period of report
Dec 27, 2017
Accepted (ET)
Dec 29, 2017 · 4:33 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 | 6,183 | $0.00 | A | 64,802 | D | |
| Common Stock | Dec 27, 2017 | F | 3,188 | $60.13 | D | 61,614 | D | |
| Common StockF2 | Dec 27, 2017 | M | 18,887 | $0.00 | A | 80,501 | D | |
| Common Stock | Dec 27, 2017 | F | 9,741 | $60.13 | D | 70,760 | D | |
| Common StockF2 | Dec 27, 2017 | M | 3,250 | $0.00 | A | 74,010 | D | |
| Common Stock | Dec 27, 2017 | F | 1,677 | $60.13 | D | 72,333 | 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 UnitsF3,F4 | $0.00 | Dec 27, 2017 | M | 6,183 | D | — | — | Common Stock | 6,183 | 56,556 | D |
| Phantom Stock UnitsF5,F4 | $0.00 | Dec 27, 2017 | M | 18,887 | D | — | — | Common Stock | 18,887 | 37,669 | D |
| Phantom Stock UnitsF5,F4 | $0.00 | Dec 27, 2017 | M | 3,250 | D | — | — | Common Stock | 3,250 | 34,419 | D |
Explanation of responses
- F1Shares 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.
- F2Shares 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.
- F3Currently convertible. Units vest in 10% increments over ten years from the original grant date.
- F4No expiration date for these Units.
- F5Currently convertible. Units vest in 20% increments over a five year period from original grant date.