SEC Form 4 · accession 0000720672-17-000105
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark P Fisher
Officer — SENIOR VP & GENERAL COUNSEL
Period of report
Dec 27, 2017
Accepted (ET)
Dec 29, 2017 · 5:01 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 | 308 | $0.00 | A | 21,677 | D | |
| Common Stock | Dec 27, 2017 | F | 174 | $60.13 | D | 21,503 | D | |
| Common StockF2 | Dec 27, 2017 | M | 349 | $0.00 | A | 21,852 | D | |
| Common Stock | Dec 27, 2017 | F | 197 | $60.13 | D | 21,655 | D | |
| Common StockF1 | Dec 27, 2017 | M | 1,967 | $0.00 | A | 23,622 | D | |
| Common Stock | Dec 27, 2017 | F | 1,113 | $60.13 | D | 22,509 | D | |
| Common StockF2 | Dec 27, 2017 | M | 204 | $0.00 | A | 22,713 | D | |
| Common Stock | Dec 27, 2017 | F | 115 | $60.13 | D | 22,598 | D | |
| Common StockF1 | Dec 27, 2017 | M | 5,269 | $0.00 | A | 27,867 | D | |
| Common Stock | Dec 27, 2017 | F | 2,982 | $60.13 | D | 24,885 | D | |
| Common StockF3 | Dec 27, 2017 | M | 7,308 | $0.00 | A | 32,193 | D | |
| Common Stock | Dec 27, 2017 | F | 4,134 | $60.13 | D | 28,059 | D | |
| Common StockF1 | Dec 27, 2017 | M | 3,372 | $0.00 | A | 31,431 | D | |
| Common Stock | Dec 27, 2017 | F | 1,908 | $60.13 | D | 29,523 | D | |
| Common StockF1 | Dec 27, 2017 | M | 1,806 | $0.00 | A | 31,329 | D | |
| Common Stock | Dec 27, 2017 | F | 1,023 | $60.13 | D | 30,306 | 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 UnitsF4,F5 | $0.00 | Dec 27, 2017 | M | 308 | D | — | — | Common Stock | 308 | 44,119 | D |
| Phantom Stock UnitsF6,F5 | $0.00 | Dec 27, 2017 | M | 349 | D | — | — | Common Stock | 349 | 43,770 | D |
| Phantom Stock UnitsF4,F5 | $0.00 | Dec 27, 2017 | M | 1,967 | D | — | — | Common Stock | 1,967 | 41,803 | D |
| Phantom Stock UnitsF6,F5 | $0.00 | Dec 27, 2017 | M | 204 | D | — | — | Common Stock | 204 | 41,599 | D |
| Phantom Stock UnitsF4,F5 | $0.00 | Dec 27, 2017 | M | 5,269 | D | — | — | Common Stock | 5,269 | 36,330 | D |
| Phantom Stock UnitsF7,F5 | $0.00 | Dec 27, 2017 | M | 7,308 | D | — | — | Common Stock | 7,308 | 29,022 | D |
| Phantom Stock UnitsF4,F5 | $0.00 | Dec 27, 2017 | M | 3,372 | D | — | — | Common Stock | 3,372 | 25,650 | D |
| Phantom Stock UnitsF4,F5 | $0.00 | Dec 27, 2017 | M | 1,806 | D | — | — | Common Stock | 1,806 | 23,844 | D |
Explanation of responses
- F1Shares 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.
- F2Shares represent a grant of restricted stock which vest 100% five years from the original grant date of the phantom stock unit.
- F3Shares 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.
- F4Currently convertible. Units vest in 20% increments over a five year period from original grant date.
- F5No expiration date for these Units.
- F6Currenlty convertible. Units vest 100% five years from the original grant date.
- F7Currently convertible. Units vest in 10% increments over ten years from the original grant date.