SEC Form 4 · accession 0000720672-17-000108
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald J Kruszewski
Officer — CHIEF EXECUTIVE OFFICER · Director
Period of report
Dec 27, 2017
Accepted (ET)
Dec 29, 2017 · 5:16 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 | 44,970 | $0.00 | A | 827,546 | D | |
| Common StockF1 | Dec 27, 2017 | M | 8,311 | $0.00 | A | 835,857 | D | |
| Common StockF2 | Dec 29, 2017 | A | 133,045 | $0.00 | A | 968,902 | D | |
| Common Stock | Dec 29, 2017 | F | 63,796 | $60.13 | D | 905,106 | D | |
| Common Stock | holding | — | — | — | 1,500 | I | by Daughter |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF3,F4 | $0.00 | Dec 27, 2017 | M | 44,970 | D | — | — | Common Stock | 44,970 | 246,941 | D |
| Phantom Stock UnitsF3,F4 | $0.00 | Dec 27, 2017 | M | 8,311 | D | — | — | Common Stock | 8,311 | 238,630 | 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 in 20% increments over a five year period from the grant date.
- F3Currently convertible. Units vest in 20% increments over a five year period from original grant date.
- F4No expiration date for these Units.