Filing Details
- Accession Number:
- 0000720672-10-000110
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-15 16:44:29
- Reporting Period:
- 2010-11-12
- Filing Date:
- 2010-11-15
- Accepted Time:
- 2010-11-15 16:44:29
- 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 |
|---|---|---|---|---|---|---|---|
| 1025192 | F Richard Ford | 800 South Hanley, #1D St. Louis MO 63105 | Yes | No | 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 | Acquisiton | 2010-11-12 | 1,999 | $5.56 | 16,979 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-11-12 | 1,792 | $53.80 | 15,187 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-11-12 | 207 | $53.80 | 14,980 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Option to Buy) | Disposition | 2010-11-12 | 1,999 | $0.00 | 1,999 | $5.56 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2013-01-30 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 450 | Indirect | by Spouse |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Phantom Stock Units | $0.00 | 15,598 | 15,598 | Direct | ||
| Common Stock | Stock Option (Option to Buy) | $13.89 | 2014-02-03 | 2,000 | 2,000 | Direct | |
| Common Stock | Stock Option (Option to Buy) | $20.22 | 2015-01-03 | 1,500 | 1,500 | Direct | |
| Common Stock | Stock Option (Option to Buy) | $38.25 | 2016-01-03 | 1,500 | 1,500 | Direct | |
| Common Stock | Stock Option (Option to Buy) | $0.00 | 3,999 | 3,999 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 15,598 | 15,598 | Direct | |
| 2014-02-03 | 2,000 | 2,000 | Direct |
| 2015-01-03 | 1,500 | 1,500 | Direct |
| 2016-01-03 | 1,500 | 1,500 | Direct |
| 3,999 | 3,999 | Direct |
Footnotes
- Options vest in 20% increments on 1/3/04, 1/3/05, 1/3/06, 1/3/07 and 1/3/08.
- Units vest quarterly over a one year period.
- No expiration date for these Units.
- Options vest in 20% increments yearly from the grant date.
- Options vest in 20 percent increments on 1/3/06, 1/3/07, 1/3/08, 1/3/09 and 1/3/10.
- Options vest in 20% increments on 1/3/07, 1/3/08, 1/3/09, 1/3/10 and 1/3/11.
- Various exercise prices.
- Various exercisable dates.
- Various expiration dates.
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