Filing Details
- Accession Number:
- 0001209191-21-019531
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-10 17:05:24
- Reporting Period:
- 2021-03-08
- Accepted Time:
- 2021-03-10 17:05:24
- 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 |
|---|---|---|---|---|---|---|---|
| 1470453 | Victor Nesi | 787 7Th Avenue New York NY 10019 | Co-President | No | 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 | 2021-03-08 | 11,249 | $64.42 | 212,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-03-08 | 35,351 | $0.00 | 247,351 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-03-08 | 15,745 | $0.00 | 263,096 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-08 | 25,022 | $64.76 | 238,074 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Phantom Stock Units | Acquisiton | 2021-03-08 | 19,681 | $0.00 | 19,681 | $0.00 |
| Common Stock | Phantom Stock Units | Disposition | 2021-03-08 | 35,351 | $0.00 | 35,351 | $0.00 |
| Common Stock | Phantom Stock Units | Disposition | 2021-03-08 | 15,745 | $0.00 | 15,745 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 113,520 | No | 4 | A | Direct | ||
| 78,169 | No | 4 | M | Direct | ||
| 62,424 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 18,574 | Indirect | by Trust |
| Common Stock | 37,500 | Indirect | GRAT trust |
Footnotes
- Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- On March 8, 2021, the shares indicated in this row were delivered to the reporting person based on the PRSU award agreement dated March 2, 2017.
- These units are being issued based on the PRSU award agreement dated March 2, 2017. Of these units, 80 percent are currently vested and the remaining 20 percent will vest on March 2, 2022.
- No expiration date for these Units.
- Currently exercisable.
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