SEC Form 4 · accession 0000720672-17-000106
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Zemlyak
Officer — CHIEF FIN'L & ADMIN OFFCR · Director
Period of report
Dec 27, 2017
Accepted (ET)
Dec 29, 2017 · 5:14 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 | 2,737 | $0.00 | A | 726,240 | D | |
| Common Stock | Dec 27, 2017 | F | 1,312 | $60.13 | D | 724,928 | D | |
| Common StockF2 | Dec 27, 2017 | M | 2,737 | $0.00 | A | 727,665 | D | |
| Common Stock | Dec 27, 2017 | F | 1,312 | $60.13 | D | 726,353 | D | |
| Common StockF3 | Dec 27, 2017 | M | 2,737 | $0.00 | A | 729,090 | D | |
| Common Stock | Dec 27, 2017 | F | 1,312 | $60.13 | D | 727,778 | D | |
| Common StockF4 | Dec 27, 2017 | M | 4,301 | $0.00 | A | 732,079 | D | |
| Common Stock | Dec 27, 2017 | F | 2,063 | $60.13 | D | 730,016 | D | |
| Common StockF1 | Dec 27, 2017 | M | 4,301 | $0.00 | A | 734,317 | D | |
| Common Stock | Dec 27, 2017 | F | 2,063 | $60.13 | D | 732,254 | D | |
| Common StockF2 | Dec 27, 2017 | M | 4,301 | $0.00 | A | 736,555 | D | |
| Common Stock | Dec 27, 2017 | F | 2,063 | $60.13 | D | 734,492 | D | |
| Common StockF5 | Dec 27, 2017 | M | 3,845 | $0.00 | A | 738,337 | D | |
| Common Stock | Dec 27, 2017 | F | 1,844 | $60.13 | D | 736,493 | D | |
| Common StockF6 | Dec 27, 2017 | M | 3,183 | $0.00 | A | 739,676 | D | |
| Common Stock | Dec 27, 2017 | F | 1,525 | $60.13 | D | 738,151 | D | |
| Common StockF6 | Dec 27, 2017 | M | 2,147 | $0.00 | A | 740,298 | D | |
| Common Stock | Dec 27, 2017 | F | 1,029 | $60.13 | D | 739,269 | D | |
| Common StockF7 | Dec 27, 2017 | M | 7,055 | $0.00 | A | 746,324 | D | |
| Common Stock | Dec 27, 2017 | F | 3,384 | $60.13 | D | 742,940 | D | |
| Common StockF6 | Dec 27, 2017 | M | 19,787 | $0.00 | A | 762,727 | D | |
| Common Stock | Dec 27, 2017 | F | 9,489 | $60.13 | D | 753,238 | D | |
| Common StockF6 | Dec 27, 2017 | M | 3,398 | $0.00 | A | 756,636 | D | |
| Common Stock | Dec 27, 2017 | F | 1,629 | $60.13 | D | 755,007 | D | |
| Common StockF8 | Dec 27, 2017 | M | 3,415 | $0.00 | A | 758,422 | D | |
| Common Stock | Dec 27, 2017 | F | 1,637 | $60.13 | D | 756,785 | D | |
| Common StockF2 | Dec 27, 2017 | M | 3,415 | $0.00 | A | 760,200 | D | |
| Common Stock | Dec 27, 2017 | F | 1,637 | $60.13 | D | 758,563 | D | |
| Common StockF3 | Dec 27, 2017 | M | 3,415 | $0.00 | A | 761,978 | D | |
| Common Stock | Dec 27, 2017 | F | 1,637 | $60.13 | D | 760,341 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares represent a grant of restricted stock which vest 100% seven 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 100% six years from the original grant date of the phantom stock unit.
- F5Shares represent a grant of restricted stock which vest 100% five years from the original grant date of the phantom stock unit.
- F6Shares 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.
- F7Shares 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.
- F8Shares represent a grant of restricted stock which vest 100% ten years from the original grant date of the phantom stock unit.