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STIFEL FINANCIAL CORP — Director's Dealing 2012
Dec 21, 2012
30525_dirs_2012-12-21_62279f27-3979-4744-b709-00650cf1d4ec.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: 2012-12-20
Reporting Person: HANSER FREDERICK O (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-12-20 | Common Stock | M | 15000 | $4.7 | Acquired | 32445 | Direct |
| 2012-12-20 | Common Stock | F | 2189 | $32.2 | Disposed | 30256 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-12-20 | Stock Option (Option to Buy) | $4.7 | M | 15000 | Disposed | 2013-10-22 | Common Stock (15000) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock Units | $0 | Common Stock (13481) | 13481 | Direct | |
| Stock Option (Option to Buy) | $0 | Common Stock (3375) | 3375 | 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: Options vest in 20% increments on 10/22/04, 10/22/05, 10/22/06, 10/22/07 and 10/22/08.
F2: Units vest quarterly over a one year period.
F3: No expiration date for these Units.
F4: Options vest in 20% increments yearly from the grant date.
F5: Options vest in 20 percent increments on 1/3/06, 1/3/07, 1/3/08, 1/3/09 and 1/3/10.
F6: 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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