SEC Form 4 · accession 0001209191-18-045697
STIFEL FINANCIAL CORP · SF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John P Dubinsky
Director
Period of report
Aug 7, 2018
Accepted (ET)
Aug 7, 2018 · 4:49 pm EDT
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,F3 | $0.00 | Aug 7, 2018 | J | 1,900 | D | — | — | Common Stock | 1,900 | 15,007 | D |
Explanation of responses
- F1The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units.
- F2Units vest quarterly over a one year period.
- F3No expiration date for these Units.