SEC Form 5 · accession 0000720672-18-000028
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ben A Plotkin
Officer — Vice Chairman and SVP
Period of report
Dec 31, 2017
Accepted (ET)
Feb 13, 2018 · 4:59 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000720672
Table I — non-derivative securities
No Table I lines on this filing.
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 | $0.00 | Sep 15, 2017 | A | 62 | A | — | — | Common Stock | 62 | 30,167 | D |
| Phantom Stock UnitsF1 | $0.00 | Dec 15, 2017 | A | 52 | A | — | — | Common Stock | 52 | 30,219 | D |
Explanation of responses
- F1Phantom stock units acquired pursuant to dividend equivalent rights in respect of previously reported phantom stock units (the "Dividend Equivalent PSUs"). The Dividend Equivalent PSUs accrued in connect with a cash dividend paid by the issuer on the issuer's common stock. The Dividend Equivalent PSUs will vest proportionately with the phantom stock units to which they relate. The Dividend Equivalent PSUs convert to the issuer's common stock on a one-for-one basis.