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STIFEL FINANCIAL CORP — Director's Dealing 2011
Feb 16, 2011
30525_dirs_2011-02-16_1e00f603-75d4-4a1b-b587-f155e145d6a3.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: 2011-02-14
Reporting Person: Plotkin Ben A (Director, Vice Chairman)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-02-14 | Phantom Stock Units | $0 | A | 7007 | Acquired | Common Stock (7007) | Direct | |
| 2011-02-14 | Phantom Stock Units | $0 | A | 1751 | Acquired | Common Stock (1751) | Direct | |
| 2011-02-14 | Phantom Stock Units | $0 | A | 1401 | Acquired | Common Stock (1401) | Direct | |
| 2011-02-14 | Phantom Stock Units | $0 | A | 350 | Acquired | Common Stock (350) | Direct | |
| 2011-02-14 | Phantom Stock Units | $0 | A | 3030 | Acquired | Common Stock (3030) | Direct | |
| 2011-02-14 | Phantom Stock Units | $0 | A | 6061 | Acquired | Common Stock (6061) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 120533 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrants | $24 | 2012-06-22 | Common Stock (15700) | 15700 | Direct |
Footnotes
F1: Units vest in 20% increments over a five year period.
F2: No expiration date for these Units.
F3: Units vest 100% five years from the grant date.
F4: Fully vested.
F5: Units vest in equal yearly increments over a ten year period. This vesting may be accelerated based on the Company's performance.
F6: Currently exercisable.
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