Mark P. Fisher - 02 Mar 2023 Form 4 Insider Report for STIFEL FINANCIAL CORP (SF)

Role
SENIOR VP & GENERAL COUNSEL
Signature
/s/ Mark Fisher
Issuer symbol
SF
Transactions as of
02 Mar 2023
Net transactions value
-$227,138
Form type
4
Filing time
06 Mar 2023, 15:51:12 UTC
Previous filing
23 Feb 2023
Next filing
13 Dec 2023
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 +943 +2.1% $0.000000 46,152 02 Mar 2023 Direct
transaction SF Common Stock Options Exercise $0 +5,534 +12% $0.000000 51,686 02 Mar 2023 Direct
transaction SF Common Stock Tax liability $227,138 -3,411 -6.6% $66.59 48,275 02 Mar 2023 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 +6,918 +21% $0.000000 40,593 02 Mar 2023 Common Stock 6,918 $0.000000 Direct F1, F2
transaction SF Phantom Stock Units Options Exercise $0 -943 -2.3% $0.000000 39,650 02 Mar 2023 Common Stock 943 $0.000000 Direct F2, F3
transaction SF Phantom Stock Units Options Exercise $0 -5,534 -14% $0.000000 34,116 02 Mar 2023 Common Stock 5,534 $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 1, 2019. Of these units, 80 percent are currently vested and the remaining 20 percent will vest on March 1, 2024.
F2 No expiration date for these Units.
F3 Currently exercisable.