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

Role
Co-President
Signature
/s/ Victor Nesi
Stock symbol
SF
Transactions as of
Mar 2, 2022
Transactions value $
-$1,022,585
Form type
4
Date filed
3/4/2022, 03:29 PM
Previous filing
Mar 1, 2022
Next filing
Sep 21, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SF Common Stock Options Exercise $0 +3.94K +1.87% $0.00 215K Mar 2, 2022 Direct
transaction SF Common Stock Options Exercise $0 +24K +11.16% $0.00 239K Mar 2, 2022 Direct
transaction SF Common Stock Tax liability -$1.02M -14.3K -5.97% $71.70 225K Mar 2, 2022 Direct
holding SF Common Stock 33.4K Mar 2, 2022 GRAT trust
holding SF Common Stock 22.6K Mar 2, 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 +30K +44.87% $0.00 96.9K Mar 2, 2022 Common Stock 30K $0.00 Direct F1, F2
transaction SF Phantom Stock Units Options Exercise $0 -3.94K -4.06% $0.00 92.9K Mar 2, 2022 Common Stock 3.94K $0.00 Direct F2, F3
transaction SF Phantom Stock Units Options Exercise $0 -24K -25.83% $0.00 68.9K Mar 2, 2022 Common Stock 24K $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.