SEC Form 4 · accession 0000720672-18-000011
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Oates
Director
Period of report
Dec 29, 2017
Accepted (ET)
Jan 3, 2018 · 5:11 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 Stock | Dec 29, 2017 | M | 4,246 | $0.00 | A | 32,886 | 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 UnitsF1,F2 | $0.00 | Dec 29, 2017 | M | 4,246 | D | — | — | Common Stock | 4,246 | 26,851 | D |
Explanation of responses
- F1Currently convertible.
- F2No expiration date for these Units.