Filing Details
- Accession Number:
- 0000720672-10-000041
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-03-11 12:00:00
- Reporting Period:
- 2010-03-09
- Filing Date:
- 2010-03-11
- Accepted Time:
- 2010-03-11 17:05:02
- 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 |
|---|---|---|---|---|---|---|---|
| 1203674 | J Ronald Kruszewski | 2724 Turnberry Park Lane St. Louis MO 63131 | Chief Executive Officer | 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 | 2010-03-09 | 50,000 | $55.65 | 606,255 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-03-10 | 40,000 | $55.74 | 566,255 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-03-11 | 10,000 | $55.54 | 556,255 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,399 | Indirect | by Daughter |
| Common Stock | 6,000 | Indirect | by Son |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Phantom Stock Units | $0.00 | 261,837 | 261,837 | Direct | ||
| Common Stock | Stock Option (Option to Buy) | $5.20 | 2012-01-02 | 79,999 | 79,999 | Direct | |
| Common Stock | Stock Option (Option to Buy) | $5.50 | 2011-01-03 | 27,499 | 27,499 | Direct | |
| Common Stock | Stock Option (Option to Buy) | $5.80 | 2013-02-10 | 60,000 | 60,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 261,837 | 261,837 | Direct | |
| 2012-01-02 | 79,999 | 79,999 | Direct |
| 2011-01-03 | 27,499 | 27,499 | Direct |
| 2013-02-10 | 60,000 | 60,000 | Direct |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $55.44 to $55.985. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $55.33 to $56.19. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $55.21 to $55.745. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- Units vest in 20% increments over a five year period.
- No expiration date for these Units.
- Options vest in 20% increments on 1/2/03, 1/2/04, 1/2/05, 1/2/06 and 1/2/07.
- Currently exercisable.
- Options vest in 20% increments on 2/10/04, 2/10/05, 2/10/06, 2/10/07 and 2/10/08.
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