Skip to main content

AI assistant

Sign in to chat with this filing

The assistant answers questions, extracts KPIs, and summarises risk factors directly from the filing text.

STIFEL FINANCIAL CORP Director's Dealing 2011

Mar 16, 2011

30525_dirs_2011-03-16_a8935aa5-bd1e-40a8-a6a6-21f10428ffbb.zip

Director's Dealing

Open in viewer

Opens in your device viewer

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.