SEC Form 4 · accession 0000720672-18-000056
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael W Brown
Director
Period of report
Jun 6, 2018
Accepted (ET)
Jun 8, 2018 · 4:05 pm EDT
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 7, 2018 | M | 1,900 | $0.00 | A | 18,134 | 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 | Jun 6, 2018 | A | 1,900 | A | — | — | Common Stock | 1,900 | 18,801 | D |
| Phantom Stock UnitsF3,F2 | $0.00 | Jun 7, 2018 | M | 1,900 | D | — | — | Common Stock | 1,900 | 16,901 | D |
Explanation of responses
- F1Units vest quarterly over a one year period.
- F2No expiration date for these Units.
- F3Currently exercisable.