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STIFEL FINANCIAL CORP — Director's Dealing 2011
Mar 16, 2011
30525_dirs_2011-03-16_a8935aa5-bd1e-40a8-a6a6-21f10428ffbb.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: STIFEL FINANCIAL CORP (SF)
CIK: 0000720672
Period of Report: 2011-03-14
Reporting Person: OATES JAMES M (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-03-14 | Common Stock | M | 300 | $25.5 | Acquired | 50300 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-03-14 | Stock Option (Option to Buy) | $25.5 | M | 300 | Disposed | 2016-01-03 | Common Stock (300) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 684 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock Units | $0 | Common Stock (12860) | 12860 | Direct |
Footnotes
F1: Options vest in 20% increments on 1/3/07, 1/3/08, 1/3/09, 1/3/10 and 1/3/11.
F2: Currently exercisable.
F3: No expiration date for these Units.
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