SEC Form 5 · accession 0000720672-18-000031
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
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
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 1, 2017 | G | 650 | $0.00 | D | 722,853 | D | |
| Common Stock | Dec 21, 2017 | G | 750 | $0.00 | D | 722,225 | D | |
| Common Stock | Jun 1, 2017 | G | 650 | $0.00 | A | 5,252 | 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 UnitsF1 | $0.00 | Sep 15, 2017 | A | 324 | A | — | — | Common Stock | 324 | 157,427 | D |
| Phantom Stock UnitsF1 | $0.00 | Dec 15, 2017 | A | 271 | A | — | — | Common Stock | 271 | 157,698 | 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.