Filing Details
- Accession Number:
- 0000720672-11-000038
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-23 16:28:46
- Reporting Period:
- 2011-02-22
- Filing Date:
- 2011-02-23
- Accepted Time:
- 2011-02-23 16:28:46
- 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 |
|---|---|---|---|---|---|---|---|
| 1392580 | A Ben Plotkin | 225 Regatta Drive Jupiter FL 33477 | Vice Chairman | 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 | 2011-02-22 | 10,000 | $72.09 | 110,533 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-02-22 | 5,000 | $72.46 | 105,533 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | 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 | 43,102 | 43,102 | Direct | ||
| Common Stock | Warrants | $24.00 | 2012-06-22 | 15,700 | 15,700 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 43,102 | 43,102 | Direct | |
| 2012-06-22 | 15,700 | 15,700 | 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.
- Currently exercisable.
Billionaire Hedge Funds
