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STIFEL FINANCIAL CORP — Director's Dealing 2013
Aug 30, 2013
30525_dirs_2013-08-30_28e2efe5-9318-4fa6-a675-40b5b4572efc.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: 2013-08-28
Reporting Person: MULROY THOMAS P (Director, Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-08-28 | Common Stock | S | 13460 | $40.2 | Disposed | 266309 | Direct |
| 2013-08-29 | Common Stock | S | 11540 | $40.66 | Disposed | 254769 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock Units | $0 | Common Stock (171015) | 171015 | Direct |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $39.91 to $40.45. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F2: This transaction was executed in multiple trades at prices ranging from $40.35 to $40.95. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F3: Units vest in equal yearly increments over a ten year period. This vesting may be accelerated based on the Company's performance.
F4: No expiration date for these Units.