SEC Form 4 · accession 0001209191-19-001972
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
Jan 2, 2019
Accepted (ET)
Jan 4, 2019 · 4:30 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 | Jan 2, 2019 | M | 6,766 | $0.00 | A | 108,494 | D | |
| Common Stock | Jan 2, 2019 | F | 1,754 | $41.42 | D | 106,740 | 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 | Jan 2, 2019 | M | 6,766 | D | — | — | Common Stock | 6,766 | 3,803 | D |
Explanation of responses
- F1Currently exercisable.
- F2No expiration date for these Units.