SEC Form 4 · accession 0000720672-17-000109
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Victor Nesi
Officer — Director · 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 | 3,415 | $0.00 | A | 93,013 | D | |
| Common Stock | Dec 27, 2017 | F | 1,761 | $60.13 | D | 91,252 | D | |
| Common StockF2 | Dec 27, 2017 | M | 3,415 | $0.00 | A | 94,667 | D | |
| Common Stock | Dec 27, 2017 | F | 1,761 | $60.13 | D | 92,906 | D | |
| Common StockF3 | Dec 27, 2017 | M | 3,415 | $0.00 | A | 96,321 | D | |
| Common Stock | Dec 27, 2017 | F | 1,761 | $60.13 | D | 94,560 | D | |
| Common StockF4 | Dec 27, 2017 | M | 2,737 | $0.00 | A | 97,297 | D | |
| Common Stock | Dec 27, 2017 | F | 1,411 | $60.13 | D | 95,886 | D | |
| Common StockF2 | Dec 27, 2017 | M | 2,737 | $0.00 | A | 98,623 | D | |
| Common Stock | Dec 27, 2017 | F | 1,411 | $60.13 | D | 97,212 | D | |
| Common StockF3 | Dec 27, 2017 | M | 2,737 | $0.00 | A | 99,949 | D | |
| Common Stock | Dec 27, 2017 | F | 1,411 | $60.13 | D | 98,538 | D | |
| Common StockF5 | Dec 27, 2017 | M | 4,301 | $0.00 | A | 102,839 | D | |
| Common Stock | Dec 27, 2017 | F | 2,218 | $60.13 | D | 100,621 | D | |
| Common StockF4 | Dec 27, 2017 | M | 4,301 | $0.00 | A | 104,922 | D | |
| Common Stock | Dec 27, 2017 | F | 2,218 | $60.13 | D | 102,704 | D | |
| Common StockF2 | Dec 27, 2017 | M | 4,301 | $0.00 | A | 107,005 | D | |
| Common Stock | Dec 27, 2017 | F | 2,218 | $60.13 | D | 104,787 | D | |
| Common StockF6 | Dec 27, 2017 | M | 4,005 | $0.00 | A | 108,792 | D | |
| Common Stock | Dec 27, 2017 | F | 2,065 | $60.13 | D | 106,727 | D | |
| Common StockF7 | Dec 27, 2017 | M | 2,938 | $0.00 | A | 109,665 | D | |
| Common Stock | Dec 27, 2017 | F | 1,515 | $60.13 | D | 108,150 | D | |
| Common StockF7 | Dec 27, 2017 | M | 4,420 | $0.00 | A | 112,570 | D | |
| Common Stock | Dec 27, 2017 | F | 2,282 | $60.13 | D | 110,288 | D | |
| Common StockF8 | Dec 27, 2017 | M | 7,308 | $0.00 | A | 117,596 | D | |
| Common Stock | Dec 27, 2017 | F | 3,768 | $60.13 | D | 113,828 | D | |
| Common StockF7 | Dec 27, 2017 | M | 23,834 | $0.00 | A | 137,662 | D | |
| Common Stock | Dec 27, 2017 | F | 12,291 | $60.13 | D | 125,371 | D | |
| Common StockF7 | Dec 27, 2017 | M | 3,989 | $0.00 | A | 129,360 | D | |
| Common Stock | Dec 27, 2017 | F | 2,058 | $60.13 | D | 127,302 | 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% ten 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% seven years from the original grant date of the phantom stock unit.
- F5Shares represent a grant of restricted stock which vest 100% six years from the original grant date of the phantom stock unit.
- F6Shares represent a grant of restricted stock which vest 100% five years from the original grant date of the phantom stock unit.
- F7Shares 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.
- F8Shares 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.