Victor Nesi - 02 Mar 2022 Form 4 Insider Report for STIFEL FINANCIAL CORP (SF)

Role
Co-President
Signature
/s/ Victor Nesi
Issuer symbol
SF
Transactions as of
02 Mar 2022
Net transactions value
-$1,022,585
Form type
4
Filing time
04 Mar 2022, 15:29:41 UTC
Previous filing
01 Mar 2022
Next filing
21 Sep 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SF Common Stock Options Exercise $0 +3,936 +1.9% $0.000000 214,968 02 Mar 2022 Direct
transaction SF Common Stock Options Exercise $0 +24,001 +11% $0.000000 238,969 02 Mar 2022 Direct
transaction SF Common Stock Tax liability $1,022,585 -14,262 -6% $71.70 224,707 02 Mar 2022 Direct
holding SF Common Stock 33,439 02 Mar 2022 GRAT trust
holding SF Common Stock 22,574 02 Mar 2022 by Trust

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 +30,001 +45% $0.000000 96,870 02 Mar 2022 Common Stock 30,001 $0.000000 Direct F1, F2
transaction SF Phantom Stock Units Options Exercise $0 -3,936 -4.1% $0.000000 92,934 02 Mar 2022 Common Stock 3,936 $0.000000 Direct F2, F3
transaction SF Phantom Stock Units Options Exercise $0 -24,001 -26% $0.000000 68,933 02 Mar 2022 Common Stock 24,001 $0.000000 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.