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STIFEL FINANCIAL CORP — Director's Dealing 2012
Jun 21, 2012
30525_dirs_2012-06-21_62cbcea2-6deb-431e-8add-2d56f3ce152b.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: 2012-06-20
Reporting Person: FORD RICHARD F (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-06-20 | Common Stock | M | 2250 | $8.98 | Acquired | 32827 | Direct |
| 2012-06-20 | Common Stock | M | 2999 | $3.8667 | Acquired | 35826 | Direct |
| 2012-06-20 | Common Stock | M | 2999 | $6.173 | Acquired | 38825 | Direct |
| 2012-06-20 | Common Stock | M | 2250 | $17 | Acquired | 41075 | Direct |
| 2012-06-20 | Common Stock | F | 2808 | $31.53 | Disposed | 38267 | Direct |
| 2012-06-20 | Common Stock | S | 7690 | $31.53 | Disposed | 30577 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-06-20 | Stock Option (Option to Buy) | $3.8667 | M | 2999 | Disposed | Common Stock (2999) | Direct | |
| 2012-06-20 | Stock Option (Option to Buy) | $6.173 | M | 2999 | Disposed | 2014-02-03 | Common Stock (2999) | Direct |
| 2012-06-20 | Stock Option (Option to Buy) | $8.98 | M | 2250 | Disposed | 2015-01-03 | Common Stock (2250) | Direct |
| 2012-06-20 | Stock Option (Option to Buy) | $17 | M | 2250 | Disposed | 2016-01-03 | Common Stock (2250) | 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 (19058) | 19058 | Direct |
Footnotes
F1: Currently exercisable.
F2: Various expiration dates.
F3: Options vest in 20% increments yearly from the grant date.
F4: Options vest in 20 percent increments on 1/3/06, 1/3/07, 1/3/08, 1/3/09 and 1/3/10.
F5: Options vest in 20% increments on 1/3/07, 1/3/08, 1/3/09, 1/3/10 and 1/3/11.
F6: Units vest quarterly over a one year period.
F7: No expiration date for these Units.
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