SEC Form 4 · accession 0000720672-17-000104

STIFEL FINANCIAL CORP · SF

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SENIOR VP & CHIEF RISK OFFICER

Period of report

Dec 27, 2017

Accepted (ET)

Dec 29, 2017 · 4:34 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
Common Stock^F1	Dec 27, 2017	M	456	$0.00	A	9,525	D
Common Stock	Dec 27, 2017	F	219	$60.13	D	9,306	D
Common Stock^F2	Dec 27, 2017	M	456	$0.00	A	9,762	D
Common Stock	Dec 27, 2017	F	219	$60.13	D	9,543	D
Common Stock^F3	Dec 27, 2017	M	456	$0.00	A	9,999	D
Common Stock	Dec 27, 2017	F	219	$60.13	D	9,780	D
Common Stock^F4	Dec 27, 2017	M	331	$0.00	A	10,111	D
Common Stock	Dec 27, 2017	F	158	$60.13	D	9,953	D
Common Stock^F5	Dec 27, 2017	M	346	$0.00	A	10,299	D
Common Stock	Dec 27, 2017	F	165	$60.13	D	10,134	D
Common Stock^F5	Dec 27, 2017	M	255	$0.00	A	10,389	D
Common Stock	Dec 27, 2017	F	124	$60.13	D	10,265	D
Common Stock^F6	Dec 27, 2017	M	8,432	$0.00	A	18,697	D
Common Stock	Dec 27, 2017	F	4,044	$60.13	D	14,653	D
Common Stock^F5	Dec 27, 2017	M	1,124	$0.00	A	15,777	D
Common Stock	Dec 27, 2017	F	537	$60.13	D	15,240	D
Common Stock^F5	Dec 27, 2017	M	1,540	$0.00	A	16,780	D
Common Stock	Dec 27, 2017	F	738	$60.13	D	16,042	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Phantom Stock Units^F7,F8	$0.00	Dec 27, 2017	M	456	D	—	—	Common Stock	456	34,052	D
Phantom Stock Units^F9,F8	$0.00	Dec 27, 2017	M	456	D	—	—	Common Stock	456	33,596	D
Phantom Stock Units^F10,F8	$0.00	Dec 27, 2017	M	456	D	—	—	Common Stock	456	33,140	D
Phantom Stock Units^F11,F8	$0.00	Dec 27, 2017	M	331	D	—	—	Common Stock	331	32,809	D
Phantom Stock Units^F12,F8	$0.00	Dec 27, 2017	M	346	D	—	—	Common Stock	346	32,463	D
Phantom Stock Units^F12,F8	$0.00	Dec 27, 2017	M	255	D	—	—	Common Stock	255	32,208	D
Phantom Stock Units^F13,F8	$0.00	Dec 27, 2017	M	8,432	D	—	—	Common Stock	8,432	23,776	D
Phantom Stock Units^F12,F8	$0.00	Dec 27, 2017	M	1,124	D	—	—	Common Stock	1,124	22,652	D
Phantom Stock Units^F12,F8	$0.00	Dec 27, 2017	M	1,540	D	—	—	Common Stock	1,540	21,112	D

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% nine years from the original grant date.
F11Currenlty convertible. Units vest 100% five years from the original grant date.
F12Currently convertible. Units vest in 20% increments over a five year period from original grant date.
F13Currently 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% five 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.
F6Shares 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.
F7Currently convertible. Units vest 100% ten years from the original grant date.
F8No expiration date for these Units.
F9Currently convertible. Units vest 100% eight years from the original grant date.