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STIFEL FINANCIAL CORP — Director's Dealing 2011
Dec 2, 2011
30525_dirs_2011-12-02_a12ff2f7-6e76-4200-bfec-2946c8a499a1.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: 2011-12-01
Reporting Person: FORD RICHARD F (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-12-01 | Common Stock | M | 2999 | $3.4667 | Acquired | 29858 | Direct |
| 2011-12-01 | Common Stock | F | 336 | $31 | Disposed | 29522 | Direct |
| 2011-12-01 | Common Stock | S | 2663 | $31 | Disposed | 26859 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-12-01 | Stock Option (Option to Buy) | $ | M | 2999 | Disposed | Common Stock (2999) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 675 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock Units | $0 | Common Stock (22776) | 22776 | Direct | |
| Stock Option (Option to Buy) | $9.26 | 2014-02-03 | Common Stock (3000) | 3000 | Direct |
| Stock Option (Option to Buy) | $13.48 | 2015-01-03 | Common Stock (2250) | 2250 | Direct |
| Stock Option (Option to Buy) | $25.5 | 2016-01-03 | Common Stock (2250) | 2250 | Direct |
Footnotes
F1: Various exercise prices.
F2: Various exercisable dates.
F3: Various expiration dates.
F4: Units vest quarterly over a one year period.
F5: No expiration date for these Units.
F6: Options vest in 20% increments yearly from the grant date.
F7: Options vest in 20 percent increments on 1/3/06, 1/3/07, 1/3/08, 1/3/09 and 1/3/10.
F8: Options vest in 20% increments on 1/3/07, 1/3/08, 1/3/09, 1/3/10 and 1/3/11.
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