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STIFEL FINANCIAL CORP — Director's Dealing 2017
Dec 29, 2017
30525_dirs_2017-12-29_0a5d7618-a794-41e1-b8b0-ef5a2f272fbe.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: 2017-12-27
Reporting Person: ZEMLYAK JAMES M (Director, CHIEF FIN'L & ADMIN OFFCR)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-12-29 | Common Stock | A | 83153 | — | Acquired | 843494 | Direct |
| 2017-12-29 | Common Stock | F | 39872 | $60.13 | Disposed | 803622 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-12-27 | Phantom Stock Units | $0 | M | 2737 | Disposed | Common Stock (2737) | Direct | |
| 2017-12-27 | Phantom Stock Units | $0 | M | 2737 | Disposed | Common Stock (2737) | Direct | |
| 2017-12-27 | Phantom Stock Units | $0 | M | 2737 | Disposed | Common Stock (2737) | Direct | |
| 2017-12-27 | Phantom Stock Units | $0 | M | 4301 | Disposed | Common Stock (4301) | Direct | |
| 2017-12-27 | Phantom Stock Units | $0 | M | 4301 | Disposed | Common Stock (4301) | Direct | |
| 2017-12-27 | Phantom Stock Units | $0 | M | 4301 | Disposed | Common Stock (4301) | Direct | |
| 2017-12-27 | Phantom Stock Units | $0 | M | 3845 | Disposed | Common Stock (3845) | Direct | |
| 2017-12-27 | Phantom Stock Units | $0 | M | 3183 | Disposed | Common Stock (3183) | Direct | |
| 2017-12-27 | Phantom Stock Units | $0 | M | 2147 | Disposed | Common Stock (2147) | Direct | |
| 2017-12-27 | Phantom Stock Units | $0 | M | 7055 | Disposed | Common Stock (7055) | Direct | |
| 2017-12-27 | Phantom Stock Units | $0 | M | 19787 | Disposed | Common Stock (19787) | Direct | |
| 2017-12-27 | Phantom Stock Units | $0 | M | 3398 | Disposed | Common Stock (3398) | Direct | |
| 2017-12-27 | Phantom Stock Units | $0 | M | 3415 | Disposed | Common Stock (3415) | Direct | |
| 2017-12-27 | Phantom Stock Units | $0 | M | 3415 | Disposed | Common Stock (3415) | Direct | |
| 2017-12-27 | Phantom Stock Units | $0 | M | 3415 | Disposed | Common Stock (3415) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 4602 | Indirect |
Footnotes
F1: Shares represent a grant of restricted stock which vest in 20% increments over a five year period from the grant date.
F2: Currently convertible. Units vest 100% seven years from the original grant date.
F3: No expiration date for these Units.
F4: Currently convertible. Units vest 100% eight years from the original grant date.
F5: Currently convertible. Units vest 100% nine years from the original grant date.
F6: Currently convertible. Units vest 100% six years from the original grant date.
F7: Currenlty convertible. Units vest 100% five years from the original grant date.
F8: Currently convertible. Units vest in 20% increments over a five year period from original grant date.
F9: Currently convertible. Units vest in 10% increments over ten years from the original grant date.
F10: Currently convertible. Units vest 100% ten years from the original grant date.