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STIFEL FINANCIAL CORP — Director's Dealing 2020
Mar 3, 2020
30525_dirs_2020-03-03_1fa8dec4-e58a-4b8c-96fb-b3c3da4b2bef.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: 2020-02-28
Reporting Person: Michaud Thomas B. (Senior Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-03-03 | Common Stock | M | 74704 | $63.23 | Acquired | 165214 | Direct |
| 2020-03-03 | Common Stock | F | 36740 | $63.23 | Disposed | 128474 | Direct |
| 2020-03-03 | Common Stock | D | 37964 | $63.23 | Disposed | 90510 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-03-03 | Phantom Stock Units | $0.00 | A | 93380 | Acquired | Common Stock (93380) | Direct | |
| 2020-03-03 | Phantom Stock Units | $0.00 | M | 74704 | Disposed | Common Stock (74704) | Direct |
Footnotes
F1: The shares indicated in this row were delivered to the reporting person, based on the PRSU award agreement, dated February 25, 2016, based on the opening market price on the calculation date specified in that agreement.
F2: From among the shares delivered, the shares indicated in this row above were disposed of as a withholding or payment for tax liability.
F3: From among the shares delivered, the units indicated in this ROW were net settled for cash by the Company from the reporting person.
F4: Of these Units, 80 percent are vested. The remaining 20 percent will vest on 2/25/21.
F5: No expiration date for these Units.
F6: Currently exercisable.