Ronald Kruszewski - Mar 2, 2022 Form 4 Insider Report for STIFEL FINANCIAL CORP (SF)

Role
Chief Executive Officer, Director
Signature
/s/ Ronald Kruszewski
Stock symbol
SF
Transactions as of
Mar 2, 2022
Transactions value $
-$1,360,292
Form type
4
Date filed
3/4/2022, 03:25 PM
Previous filing
Feb 23, 2022
Next filing
May 3, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SF Common Stock Options Exercise $0 +8.2K +0.64% $0.00 1.29M Mar 2, 2022 Direct
transaction SF Common Stock Options Exercise $0 +34.3K +2.67% $0.00 1.32M Mar 2, 2022 Direct
transaction SF Common Stock Tax liability -$1.36M -19K -1.44% $71.70 1.3M Mar 2, 2022 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SF Phantom Stock Units Award $0 +42.9K +37.19% $0.00 158K Mar 2, 2022 Common Stock 42.9K $0.00 Direct F1, F2
transaction SF Phantom Stock Units Options Exercise $0 -8.2K -5.19% $0.00 150K Mar 2, 2022 Common Stock 8.2K $0.00 Direct F2, F3
transaction SF Phantom Stock Units Options Exercise $0 -34.3K -22.87% $0.00 116K Mar 2, 2022 Common Stock 34.3K $0.00 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These units are being issued based on the PRSU award agreement dated March 2, 2018. Of these units, 80 percent are currently vested and the remaining 20 percent will vest on March 2, 2023.
F2 No expiration date for these Units.
F3 Currently exercisable.