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STIFEL FINANCIAL CORP — Director's Dealing 2012
Nov 13, 2012
30525_dirs_2012-11-13_decf57d2-f4d0-49ae-9618-67bf8d1ec273.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: 2012-11-09
Reporting Person: SLINEY DAVID D (Dir Strategic Planning & Tech)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-11-09 | Common Stock | M | 20999 | $3.8633 | Acquired | 92635 | Direct |
| 2012-11-09 | Common Stock | F | 2624 | $30.9 | Disposed | 90011 | Direct |
| 2012-11-12 | Common Stock | F | 7755 | $30.26 | Disposed | 82256 | Direct |
| 2012-11-12 | Common Stock | F | 62 | $30.05 | Disposed | 82194 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-11-09 | Stock Option (Option to Buy) | $3.8633 | M | 20999 | Disposed | 2013-02-10 | Common Stock (20999) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock Units | $0 | Common Stock (79408) | 79408 | Direct |
Footnotes
F1: Options vest in 20% increments on 2/10/04, 2/10/05, 2/10/06, 2/10/07 and 2/10/08.
F2: Units vest in equal yearly increments over a ten year period. This vesting may be accelerated based on the Company's performance.
F3: No expiration date for these Units.
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