SEC Form 4 · accession 0000720672-17-000107
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 · 5:15 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 29, 2017 | A | 83,153 | $0.00 | A | 843,494 | D | |
| Common Stock | Dec 29, 2017 | F | 39,872 | $60.13 | D | 803,622 | D | |
| Common Stock | holding | — | — | — | 4,602 | I | by Son |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF2,F3 | $0.00 | Dec 27, 2017 | M | 2,737 | D | — | — | Common Stock | 2,737 | 154,366 | D |
| Phantom Stock UnitsF4,F3 | $0.00 | Dec 27, 2017 | M | 2,737 | D | — | — | Common Stock | 2,737 | 151,629 | D |
| Phantom Stock UnitsF5,F3 | $0.00 | Dec 27, 2017 | M | 2,737 | D | — | — | Common Stock | 2,737 | 148,892 | D |
| Phantom Stock UnitsF6,F3 | $0.00 | Dec 27, 2017 | M | 4,301 | D | — | — | Common Stock | 4,301 | 144,591 | D |
| Phantom Stock UnitsF2,F3 | $0.00 | Dec 27, 2017 | M | 4,301 | D | — | — | Common Stock | 4,301 | 140,290 | D |
| Phantom Stock UnitsF4,F3 | $0.00 | Dec 27, 2017 | M | 4,301 | D | — | — | Common Stock | 4,301 | 135,989 | D |
| Phantom Stock UnitsF7,F3 | $0.00 | Dec 27, 2017 | M | 3,845 | D | — | — | Common Stock | 3,845 | 132,144 | D |
| Phantom Stock UnitsF8,F3 | $0.00 | Dec 27, 2017 | M | 3,183 | D | — | — | Common Stock | 3,183 | 128,961 | D |
| Phantom Stock UnitsF8,F3 | $0.00 | Dec 27, 2017 | M | 2,147 | D | — | — | Common Stock | 2,147 | 126,814 | D |
| Phantom Stock UnitsF9,F3 | $0.00 | Dec 27, 2017 | M | 7,055 | D | — | — | Common Stock | 7,055 | 119,759 | D |
| Phantom Stock UnitsF8,F3 | $0.00 | Dec 27, 2017 | M | 19,787 | D | — | — | Common Stock | 19,787 | 99,972 | D |
| Phantom Stock UnitsF8,F3 | $0.00 | Dec 27, 2017 | M | 3,398 | D | — | — | Common Stock | 3,398 | 96,574 | D |
| Phantom Stock UnitsF10,F3 | $0.00 | Dec 27, 2017 | M | 3,415 | D | — | — | Common Stock | 3,415 | 93,159 | D |
| Phantom Stock UnitsF4,F3 | $0.00 | Dec 27, 2017 | M | 3,415 | D | — | — | Common Stock | 3,415 | 89,744 | D |
| Phantom Stock UnitsF5,F3 | $0.00 | Dec 27, 2017 | M | 3,415 | D | — | — | Common Stock | 3,415 | 86,329 | D |
Explanation of responses
- F1Shares represent a grant of restricted stock which vest in 20% increments over a five year period from the grant date.
- F10Currently convertible. Units vest 100% ten years from the original grant date.
- F2Currently convertible. Units vest 100% seven years from the original grant date.
- F3No expiration date for these Units.
- F4Currently convertible. Units vest 100% eight years from the original grant date.
- F5Currently convertible. Units vest 100% nine years from the original grant date.
- F6Currently convertible. Units vest 100% six years from the original grant date.
- F7Currenlty convertible. Units vest 100% five years from the original grant date.
- F8Currently convertible. Units vest in 20% increments over a five year period from original grant date.
- F9Currently convertible. Units vest in 10% increments over ten years from the original grant date.