Filing Details
- Accession Number:
- 0000720672-11-000034
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-22 14:39:13
- Reporting Period:
- 2011-02-18
- Filing Date:
- 2011-02-22
- Accepted Time:
- 2011-02-22 14:39:13
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 720672 | Stifel Financial Corp | SF | Security Brokers, Dealers & Flotation Companies (6211) | 431273600 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1203675 | M James Zemlyak | One Financial Plaza 501 N. Broadway St. Louis MO 63102-2102 | Chief Fin'l & Admin Offcr | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2011-02-18 | 850 | $73.84 | 1,000 | No | 4 | S | Indirect | by Son |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | by Son |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 393,411 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Phantom Stock Units | $0.00 | 73,542 | 73,542 | Direct | ||
| Common Stock | Restricted Stock Units | $0.00 | 6,153 | 6,153 | Direct | ||
| Common Stock | Stock Option (Option to Buy) | $7.80 | 2012-01-02 | 40,001 | 40,001 | Direct | |
| Common Stock | Stock Option (Option to Buy) | $8.69 | 2013-02-10 | 40,001 | 40,001 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 73,542 | 73,542 | Direct | |
| 6,153 | 6,153 | Direct | |
| 2012-01-02 | 40,001 | 40,001 | Direct |
| 2013-02-10 | 40,001 | 40,001 | Direct |
Footnotes
- Units vest in equal yearly increments over a ten year period. This vesting may be accelerated based on the Company's performance.
- No expiration date for these Units.
- Various exercisable dates.
- Options vest in 20% increments on 1/2/03, 1/2/04, 1/2/05, 1/2/06 and 1/2/07.
- Options vest in 20% increments on 2/10/04, 2/10/05, 2/10/06, 2/10/07 and 2/10/08.
Billionaire Hedge Funds
