SEC Form 4 · accession 0000720672-17-000103
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ben A Plotkin
Officer — Vice Chairman and SVP
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 | 911 | $0.00 | A | 97,137 | D | |
| Common Stock | Dec 27, 2017 | F | 382 | $60.13 | D | 96,755 | D | |
| Common StockF2 | Dec 27, 2017 | M | 911 | $0.00 | A | 97,666 | D | |
| Common Stock | Dec 27, 2017 | F | 382 | $60.13 | D | 97,284 | D | |
| Common StockF3 | Dec 27, 2017 | M | 911 | $0.00 | A | 98,195 | D | |
| Common Stock | Dec 27, 2017 | F | 382 | $60.13 | D | 97,813 | D | |
| Common StockF4 | Dec 27, 2017 | M | 6,745 | $0.00 | A | 104,558 | D | |
| Common Stock | Dec 27, 2017 | F | 2,830 | $60.13 | D | 101,728 | 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 UnitsF5,F6 | $0.00 | Dec 27, 2017 | M | 911 | D | — | — | Common Stock | 911 | 29,194 | D |
| Phantom Stock UnitsF7,F6 | $0.00 | Dec 27, 2017 | M | 911 | D | — | — | Common Stock | 911 | 28,283 | D |
| Phantom Stock UnitsF8,F6 | $0.00 | Dec 27, 2017 | M | 911 | D | — | — | Common Stock | 911 | 27,372 | D |
| Phantom Stock UnitsF9,F6 | $0.00 | Dec 27, 2017 | M | 6,745 | D | — | — | Common Stock | 6,745 | 20,627 | 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.
- 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 in 20% increments over a 5 year period from original grant date of the phantom stock unit.
- F5Currently convertible. Units vest 100% ten years from the original grant date.
- F6No expiration date for these Units.
- F7Currently convertible. Units vest 100% eight years from the original grant date.
- F8Currently convertible. Units vest 100% nine years from the original grant date.
- F9Currently convertible. Units vest in 20% increments over a five year period from original grant date.