Ronald Kruszewski - Mar 2, 2023 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, 2023
Transactions value $
-$1,660,954
Form type
4
Date filed
3/6/2023, 03:55 PM
Previous filing
Feb 23, 2023
Next filing
Mar 10, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SF Common Stock Options Exercise $0 +8.57K +0.64% $0.00 1.34M Mar 2, 2023 Direct
transaction SF Common Stock Options Exercise $0 +47.7K +3.56% $0.00 1.39M Mar 2, 2023 Direct
transaction SF Common Stock Tax liability -$1.66M -24.9K -1.79% $66.59 1.36M Mar 2, 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 +59.7K +38.43% $0.00 215K Mar 2, 2023 Common Stock 59.7K $0.00 Direct F1, F2
transaction SF Phantom Stock Units Options Exercise $0 -8.57K -3.99% $0.00 206K Mar 2, 2023 Common Stock 8.57K $0.00 Direct F2, F3
transaction SF Phantom Stock Units Options Exercise $0 -47.7K -23.13% $0.00 159K Mar 2, 2023 Common Stock 47.7K $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 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.