SEC Form 4 · accession 0000720672-18-000039
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Marischen
Officer — SENIOR VP & CHIEF RISK OFFICER
Period of report
Mar 2, 2018
Accepted (ET)
Mar 6, 2018 · 4:46 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,F2 | $0.00 | Mar 2, 2018 | A | 1,667 | A | — | — | Common Stock | 1,667 | 19,454 | D |
Explanation of responses
- F1Units vest in equal yearly increments over a ten year period.
- F2No expiration date for these Units.